Regulatory Compliance Manager

Location: Hong Kong S.A.R
Job Type: Permanent
Industry: Retail & Corporate Banking
Reference: 33708
Job Published: February 05, 2021
  • Regulatory Compliance
  • Conducting compliance review
  • Hands on banking experience


Major Responsibilities:

·      Work with key stakeholders to analyse the potential impacts of regulatory requirements;

·      Assist the Head of Compliance to conduct reviews and monitor internal policies and procedures to ensure compliance with regulatory requirements;

·      Handle licensing related matters, regulatory filing and reporting for the company;

·      Staff dealing monitoring; CPD/CPT and relevant monitoring.;

·      Assist the Head of Compliance to provide compliance training and promote compliance awareness among the Bank staffs;

·      Assist in liaising with regulators on compliance matters and regulatory enquiries/examination related to VB;

·      Handle ad-hoc projects as from time to time be assigned by the Head of Compliance;




Key Requirements:

·      At least 3-5 experience in compliance/risk management role of a banking or financial institution;

·      Familiar with general banking products and services offered in HK;

·      Have experience in interacting with regulatory bodies (e.g. HKMA, SFC)

·      University graduate in Legal, Finance or business-related qualification

·      Excellent written and verbal communication skills in English, Cantonese and Mandarin

·      Ability to collaborate with other team members

·      Detail-oriented, analytical and ability to identify potential issues and solutions