The person who applies for this role should have a solid experience in working in the general compliance functions in the local retail banking, private wealth management and/or private banking. In this role, you will report to the Head of Legal & Compliance (Private Wealth Management) and be responsible for: 

• Involving and handling compliance enquiries from the business line in relation to the type 1, 4 and 9 regulated activities, compliant, data protection and depository scheme, insurance business related to the consumer banking and private wealth management.
• Providing regulatory advice and guidance on rules and internal policies for the consumer banking segment, with making sure that the processes and workflows can comply with the latest banking’s code of conduct, laws, regulations, guidelines and circulars issued by the HKMA, SFC and IA.
• Drafting, revising and maintaining Compliance related policies and manuals.
• Handling regular and ad hoc compliance reviews on the business unit’s processes for fulfilling the regulatory requirements.
• Arranging the regular MIS reports to the management attention with organizing the relevant committee setup and support.
• Handling regulators' inquiries, inspections and investigations as well as the data reporting to the regulators while its applicable.
• Organizing and preparing the dedicated compliance training to the bank’s staff.
• Taking up the ad hoc activities and other compliance projects raised by the Department Head accordingly.

To meet the challenge, you should have the following qualifications and attributes:

• Degree holder in Business Administration, Accounting, Finance, Law or related disciplines
• 7 years of experience in banking/ financial industry with exposure to AML, compliance, audit or risk management, majorly focusing on the local retail banking, private wealth management and private banking segments.
• Strong analytical skills and PC knowledge.
• Good command of written and spoken English and Chinese.
• Less experience or qualified candidate can be considered as the Assistant Manager role.

We offer competitive package to the right candidates. Interested parties please send your resume with current & expected salary by clicking “Apply Now” button.  

All information provided by applicants will be treated in strict confidence and handled confidentially for recruitment purpose only. Applicants who are not contacted within 8 weeks may consider their application unsuccessful and their data will be destroyed within 12 months.

 *We do not accept solicitations from recruitment agencies*