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Compliance Manager, RBD

Posting Date:  Aug 6, 2022

Hong Kong, HK

Employment Status:  Permanent
Department:  Retail Banking & Wealth Management Department
Job Description: 

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