Job Purpose:

• To assist Group Compliance Division in discharging the duties of ensuring the Bank’s compliance with rules, regulations and guidelines issued by regulatory bodies on e.g. data privacy, deposit protection, Code of Banking Practice and technology risks etc.;
• To assist Group Compliance Division in promoting bank wide compliance culture by promoting and delivering compliance mindset to internal business partners through policies and procedures setting, new business development, regulatory compliance briefing and training.

Main Responsibilities:

• Review and give advice on data privacy, deposit protection, Code of Banking Practice, technology risk and any other banking compliance related documents, workflow, procedures and guidelines;
• Conduct independent compliance reviews and assessments to ensure the effectiveness of policies and internal controls framework; identify, inspect, and report internal control weaknesses and recommend corrective actions or enhancements for implementation;
• Review marketing materials, the gap analyses and self-assessments completed by business units;
• Support compliance team in preparing materials for regulatory trainings;
• Handle day-to-day compliance related tasks as assigned;
• Perform ad hoc projects as assigned from time to time.

Requirements:

• Degree holder, preferably in Laws, Finance, Banking or possess related professional qualifications;
• A minimum of 6 years’ hands on experience in financial services industry preferably with compliance monitoring and testing or audit experiences in banking industry;
• Familiar with financial services related laws or regulation and operations;
• Professional qualification such as Certified Banker (CB), or ECF on Compliance is preferable.
• Analytical minded, responsible, self-motivated, and meticulous;
• Team player and able to work independently;
• Good communication and written skills in both English and Chinese;
• Proficient in MS Word, including Word, Excel and PowerPoint;
• Candidate with less experience will be considered as Assistant Manager.