Job Description:

• In charge of core compliance function by providing advisory over HKMA/ SFC/IA licensing matters, conduct policies and procedures, monitoring control and oversight;
• Advice business units on compliance and regulatory issues, including new activities and ad hoc requests;
• Manage and coordinate licensing applications for senior executives;
• Conduct compliance assessments and reviews on key regulatory issues from a second line of defense, ensure fit and proper at all times by complying with applicable provisions, codes and guidelines issued by the HKMA and the SFC;
• Handle HKMA and SFC examination/ investigation/ enquiry on banking, licensing matters and conduct issues;
• Communicate with stakeholders and recommend corrective actions and solutions to concerned issues, and monitor for completion;
• Provide trainings in accordance to internal policies and procedures, regulatory issues (e.g. Customer data protection, banking conducts, outside business interest, etc.) and ensure applicable controls in place.

• University degree in Accounting & Finance, Economics, Business Administration, Law or related discipline
• Minimum 5 years of banking experience, with relevant exposure to anti-money laundering / compliance / banking regulatory bodies / internal audit / risk and control management
• Ability to work with a minimum level of supervision and make prompt decisions
• Strong analytical and interpersonal skills
• Good knowledge in banking laws, operations, products and services
• Good command of written and spoken English and Chinese (including Putonghua)

招商銀行香港分行於2002年成立，包括公司及零售銀行業務。香港分行的公司銀行業務主要是向客戶提供存款和貸款，匯款、保理、國際貿易融資及結算，牽頭或參加銀團貸款，參與同業資金、債券及外匯市場交易。零售銀行業務主要為香港和內地的個人客戶提供跨境電子銀行服務，特色產品為「香港一卡通」及「香港銀證通」。「香港一卡通」持卡人可以通過「中國銀聯」、「香港銀通」和「易辦事」系統在香港、中國內地及全球ATM提取現金和POS機刷卡消費，並享用香港、中國內地和海外的櫃台及網上匯款服務。「香港銀證通」客戶可通過網上銀行及遠程銀行買賣港股，盡享投資理財的便利。