Senior Officer/Manager, Regulatory Compliance and Compliance Assurance

Key responsibilities:

1. Provide compliance advice and supports from the regulatory compliance perspective, ensuring the relevant regulatory requirements are duly considered and addressed.
2. Monitor and manage the regulatory developments. Act as a contact point with the regulatory bodies. Handle and coordinate the regulatory enquiries, requests, examinations, and other affairs.
3. Collaborate with internal stakeholders, including the first line business department, second line and third line control functions.
4. Review and provide clearance for various kinds of promotional and customer-facing materials to ensure they are in compliance with all relevant regulatory requirements.
5. Prepare internal management reports for submission to senior management and internal governance committees.
6. Prepare materials for regular internal training to raise staff awareness on the compliance and conduct standards.
7. Handle day-to-day works and enquires in relation to FATCA/CRS requirements.
8. Conduct compliance assurance reviews, covering both regulatory compliance requirements and financial crime compliance requirements.
9. Perform other tasks and engage in ad hoc projects as assigned by the Head of Legal and Compliance Department.

Qualifications:

1. Bachelor’s degree in Accountancy, Finance, Business or a related discipline.
2. Minimum 4 years of relevant experience in providing regulatory compliance advice in retail banks, corporate banks, or digital banks.
3. Good knowledge of Hong Kong banking regulatory frameworks, covering the legal and regulatory requirements of the HKMA, SFC, Insurance Authority, Deposit Protection Board, PCPD and HKAB.
4. Sound working knowledge of FATCA and CRS requirements.
5. Good problem-solving skills, ability to work under tight schedule and manage multiple tasks under time pressure and in a fast-paced environment.