Compliance Manager, RBD

Job Responsibilities

• Prepare regular compliance report to Department Head that identify any potential compliance issue
• Review bank’s document (e.g. order placement document, marketing materials) to comply with regulatory requirement
• Preform compliance control to ensure the department meets the internal and external compliance standard and should report any non-compliance events
• Conduct gap analysis for newly effective regulatory requirement and identify what action requires to take
• Take lead  to enhance policy and procedure to cope with latest changes from internal compliance requirement and external regulatory requirement
• Conduct training for updates of regulatory requirement and uplift their compliance standard
• Response Head Office enquiries that related to retail banking service and products
• Response enquiries from external regulators and internal control departments related to retail banking services and products

Job Requirements

• Bachelor Degree or above with major in Banking, Finance, Accounting, Law or relevant disciplines
• Minimum 10 years of working experience in banking or financial industry, in which at least 5 years of working experience related to compliance or control role, preferably with exposure on retail banking business
• Familiar with the regulatory requirement, e.g. HKMA, SFC and HKFI on investment and insurance products,  Code of Banking Practice, Deposit Protection Scheme, Personal Data (Privacy) Ordinance, etc.
• Able to implement regulatory requirement to suit the bank’s existing practice.
• Able to work independently and good time management of multi-task handling
• Well communication skill to communicate with other departments and Head Office
• Responsible, proactive, attention to details
• Good knowledge of Windows office to prepare reports and training materials.
• Good command of English and Chinese (including Putonghua),  both written and speaking