Responsible for overall governance and reporting of compliance matters in the region (Hong Kong and Singapore) to local/regional management and head office, handling general compliance matters, execution of compliance monitoring and controls, provide compliance advice and conduct risk and control assessment on compliance risks for HK Branch and handle company secretary matter.
Key Responsibilities
Manage the general compliance matters including, among others, day to day contact with supervisory authorities, ensuring communication from regulators are disseminated to relevant parties timely, and taking reasonable steps to ensuring regulatory submission/filing are completed timely and accurate.
Execute/supervise the execution of compliance monitoring and controls including monitoring of Personal Account Dealing, Licensing, continuous professional training, anti-corruption and bribery, etc.
Coordinate with different departments of the Bank to ensure compliance with regulators’ request; self-assessments and surveys with the local regulatory authorities e.g. HKMA, SFC, DPB, etc., and implementation of new regulatory requirements.
Supervise the handling of HK Branch and employees’ individual licensing matters. Ensure all employees are properly registered with regulators, as appropriate and comply with relevant licensing requirements (e.g. CPD/CPT).
Compile, review and consolidate management reporting to Head Office, local and/or regional management and/or committee /forum covering HK, Singapore for both FCC, general and regulatory compliance.
Handle company secretary matters, including liaison with Head Office.
Construct and deliver Compliance training (including Compliance Induction training to new joiners, refresher training and other ad hoc training), supervise the compilation of the Compliance training plan by collaborating with relevant parties including, HR Department, Head Office, to ensure that compliance trainings are properly included in the Compliance Training Plan and rolled out to new joiners and existing employees.
Coordinate and manage compliance policies and procedures, compliance broadcasts.
Coordinate the various committee papers and meetings.
Coordination regional compliance activities as required.
Basic Requirements
5 years+ experience in a compliance within a bank or financial institution.
Knowledge of HKMA and SFC regulations.
Excellent communication skills, proficient in English, Cantonese and preferably in Mandarin.
A team player with good interpersonal skills