Job summary

Responsibilities:

  • Provide compliance advisory support in relation to licensing, investment, insurance, retail products, corporate and treasury products to the designated business units and support units of the Bank
  • Provide support to business and / or supporting units in the development, implementation and regular review of policies and procedures for their operations with due regard to all applicable regulatory requirements in the Specific Area
  • Ass...

Responsibilities:

  • Provide compliance advisory support in relation to licensing, investment, insurance, retail products, corporate and treasury products to the designated business units and support units of the Bank
  • Provide support to business and / or supporting units in the development, implementation and regular review of policies and procedures for their operations with due regard to all applicable regulatory requirements in the Specific Area
  • Assist Team Head to assess potential impact of regulatory trends and developments in designated areas
  • Collaborate with Compliance Assurance & Governance team in performing compliance monitoring program on the Bank's various activities in investment compliance if necessary
  • Assist Team Head to conduct compliance review on complaint cases and provide necessary advice in designation
  • Undertake investigations into any complaints reported or made by both internal and external customers in designation
  • Perform regular tracking on all outstanding regulatory issues or findings yet to be solved or responded
  • Assist Team Head to enforce the General Compliance Manual of the Bank in the Specific Area
  • Assist Team Head to handle the ad hoc examination, surveys, enquiries
  • Prepare operation manual for the department in the Specific Area
  • Support Team Head to provide training on compliance matters to raise and maintain compliance awareness among staff
  • Take up other assignments from time to time directed by the Team Head or the management of Compliance Department

Requirements:

  • Degree holder in Law, Accounting, or related disciplines
  • Good command of written and spoken English and Chinese (including Putonghua)
  • Minimum 3 years compliance experience in banking or financial service industry

Our client offers an excellent remuneration package to the right candidate. Interested parties please kindly reach out to Kelvin at 3907 2552/k.hung@gravitasgroup.com for a confidential discussion.

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