Assistant Manager / Manager, Banking Compliance
China Construction Bank (Asia) Corporation Limited
- Company Industries：Financial Services
Job Information
- Post Date：2022-08-26
- Location：Kowloon Bay
- Employment Type：Full Time
- Job Function：Banking / Finance Others
Job Description
Main Responsibilities:
- Liaise with regulators (such as HKMA and the SFC) and relevant parties to facilitate regulatory examinations, questionnaires, surveys, investigations, and reporting requirements
- Provide internal compliance advice and implement some compliance reviews as set forth in internal compliance policies and procedures
- Provide general and regulatory compliance support for the bank and its subsidiaries
- Provide compliance advisory service and write-up/review compliance policy and procedures
- Maintain and update compliance manuals and policies
- Disseminate laws and regulations issued by regulators and coordinate gap analysis with business units
- Handle licensing and notification related matters for key regulatory positions
- Work with relevant parties to analyze the potential impact of regulatory trends and developments to ensure compliance with any new regulatory changes
- Work with group compliance to keep abreast of and adhere to the updated group policies and requirements
- Handle regulatory complaints and incidents related matters
- Handle compliance-related head office requests and/or reporting requirements
- Handle ad-hoc projects as may from time to time be assigned by the Division/Team Head.
- Prepare compliance reports for senior management review
- Provide training to and promote compliance awareness among the associates
- Review customer communication materials/correspondence with regulatory bodies regarding corporate and commercial banking businesses and general compliance matters
- Provide internal compliance advice and implement some compliance reviews as set forth in internal compliance policies and procedures
- Provide general and regulatory compliance support for the bank and its subsidiaries
- Provide compliance advisory service and write-up/review compliance policy and procedures
- Maintain and update compliance manuals and policies
- Disseminate laws and regulations issued by regulators and coordinate gap analysis with business units
- Handle licensing and notification related matters for key regulatory positions
- Work with relevant parties to analyze the potential impact of regulatory trends and developments to ensure compliance with any new regulatory changes
- Work with group compliance to keep abreast of and adhere to the updated group policies and requirements
- Handle regulatory complaints and incidents related matters
- Handle compliance-related head office requests and/or reporting requirements
- Handle ad-hoc projects as may from time to time be assigned by the Division/Team Head.
- Prepare compliance reports for senior management review
- Provide training to and promote compliance awareness among the associates
- Review customer communication materials/correspondence with regulatory bodies regarding corporate and commercial banking businesses and general compliance matters
Requirements:
- Degree holder in Business, Accounting, Law or related disciplines
- Minimum 2 years' working experience in regulatory/bank field (e.g. bank compliance)
- Potential candidate with less experience will be considered as junior post
- Familiar with Banking Ordinance and relevant rules, codes and guidelines issues by HKMA and other regulators
- Sound knowledge of the relevant laws and regulators pertinent to bank
- Good interpersonal and communication skills to work with internal parties
- Detail-oriented and a team player
- Proficiency in both spoken and written English and Chinese (including Mandarin)
- Minimum 2 years' working experience in regulatory/bank field (e.g. bank compliance)
- Potential candidate with less experience will be considered as junior post
- Familiar with Banking Ordinance and relevant rules, codes and guidelines issues by HKMA and other regulators
- Sound knowledge of the relevant laws and regulators pertinent to bank
- Good interpersonal and communication skills to work with internal parties
- Detail-oriented and a team player
- Proficiency in both spoken and written English and Chinese (including Mandarin)
Company Info
China Construction Bank (Asia) Corporation Limited [“CCB (Asia)”] is the retail and commercial business platform of China Construction Bank Corporation [“CCB”] in Hong Kong. As of June 30, 2017, CCB (Asia) has 50 branches in Hong Kong and offers a wide array of banking products and services to customers, including consumer banking services, commercial banking services, corporate banking services, private banking services and cross-border financial services, etc.
We’re inviting high caliber professionals to share our vision and mark our success together.
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