compliance manager (1 year contract) in Hong Kong Island

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job details

posted
location
hong kong island
specialism
banking & financial services
job type
temporary
reference number
91M0087720_1523003806
contact
eva tai, randstad hong kong
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job description

Responsibilities

  • To ensure the operation of HK branch comply with the HKMA requirements and other applicable laws, rules and regulations.
  • To coordinate and report on all types of compliance issues to the CE of the HK branch.
  • To liaise with the regulatory body on all aspects of compliance issues in relation to the HK branch e.g. HKMA enquiry, inspection review, etc.
  • To liaise with external consultants on compliance related matters.
  • To review and update all Operation / Compliance Manuals in relation to the operation of the HK branch.
  • To monitor staff compliance with the policies and procedures set in the Operations/Compliance Manuals and other applicable laws, rules and regulations.
  • To conduct periodic reviews to ensure operation compliance with the internal policies, procedures and other applicable laws, rules and regulations.
  • To ensure the new hires have completed compliance training programs (e.g. AML, PDPO, etc).
  • To distribute compliance related manuals and keep the marketing staff updated of any changes of requirements.
  • To train staff on compliance related matters.
  • To maintain a clients’ complaint log and handle complaints (if any).
  • To maintain all relevant compliance records (except HR and accounting related issues).
  • To handle ad hoc compliance issues in relation to the HK branch.

Qualifications

  • Degree holder and above in Law, Accounting, Banking or a related discipline
  • Minimum of 8 - 10 years’ solid experience in corporate banking or financial service industry
  • Section 72B Manager’s experiences in the function of Compliance is an advantage
  • Well versed in HKMA, SFC regulations and any new industry developments
  • Ensure adherence to compliance requirements per regulated policies and practices
  • A good team player with positive attitude
  • Strong communication, interpersonal and problem-solving skills
  • Ability to carry out all activities to the highest standard
  • Fluency in both English and Chinese a must, Mandarin will be an advantage

If you are interested in this position, please click link to apply. If you would like to know more about this role, please contact Eva Tai at +852 2232 3465 for confidential conversation.