Senior Manager, Regulatory Compliance

Job Responsibilities

• Oversee the design and implementation of the compliance framework, systems, policies and procedures ;
• Provide practical compliance advice in relation of retail, corporate and wealth management businesses, to ensure the Bank’s compliance with all applicable regulatory requirements;
• Handle day-to-day FATCA/CRS compliance work, and regulatory reporting related to tax compliance;
• Handle regulatory examinations, questionnaires, surveys, inspections, reporting requirements and enquiries in connection with regulators (e.g. HKMA, SFC and IA) and other relevant external parties;
• Assist in monitoring the Bank’s compliance with the requirements of Disclosure of Interests under SFO and the relevant SFC Codes, and handle relevant conflict clearance;
• Perform pre-publication review on promotional materials to ensure the compliance of marketing, advertising and sales content under all applicable rules and regulations;
• Coordinate and prepare internal and external reporting;
• Conduct compliance reviews as per the compliance assurance plan;
• Liaise with regulators, auditors and internal stakeholders on compliance matters; and
• Perform ad hoc projects as assigned from time to time.

Job Requirements

• Degree holder in Law, Accountancy, Finance or business-related discipline;
• Minimum 8 years of compliance experience in banking / audit firm, more experience can be considered as Senior Manager;
• Solid knowledge and understanding of HKMA and SFC regulations and requirements;
• Familiar with FATCA/CRS requirements; and
• Good problem solving, interpersonal and communication skills.