Banking Compliance Professional

PRINCIPAL ACCOUNTABILITIES:

• Handle HKMA on-site examinations independently (other than investment & insurance business), including coordinate with internal stakeholders for timely submission and closely monitor the progress

• Liaise with regulators (such as HKMA) and relevant parties to facilitate regulatory regular or ad-hoc questionnaires, surveys, investigations and reporting requirements

• Handle regular and ad-hoc reporting (in Chinese) to the Head Office

• 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 comment against Business/ Supporting Units’ policy and procedures from general compliance perspective (other than investment & insurance business)

• Maintain and update Divisional Policy and DPS related policies

• Disseminate regulatory updates issued by regulators and conduct gap analysis/follow-up action with business units (other than investment & insurance business)

• Handle notification related to suspicious websites, phishing e-mails and similar scams

• 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 ad-hoc projects as may from time to time be assigned by the Division/Team Head.

• Prepare compliance reports for senior management review (other than investment & insurance business)

• Review customer communication materials/correspondence with regulatory bodies regarding general banking businesses and general compliance matters

INCUMBENT REQUIREMENT:

• Degree holder in Business, Accounting, Law or related disciplines

• Minimum 3~7 years of relevant experience in regulatory field / bank compliance

• Familiar with Banking Ordinance, Personal Data (Privacy) Ordinance, DPS Ordinance (including Representation Rules) and/or rules, codes and guidelines issues by HKMA and other regulators

• Solid experience in general/regulatory compliance with experience dealing with regulators

• Sound knowledge of the relevant laws and regulators pertinent to bank

• Good interpersonal and communication skills to work with internal parties

• People-oriented and a team player

• Strong analytical, communication and interpersonal skills

• Strong organization skill, business acumen and able to meet tight deadline

• Proficiency in both spoken and written English and Chinese (including Mandarin)

Applicants who are not contacted within 8 weeks may consider their applications unsuccessful and their personal data will be retained by the bank for a period up to two years.

All information provided by applicants will be used for recruitment purposes only and will be used strictly in accordance with the bank’s personal data policies, a copy of which will be provided upon request.