compliance officer - banking in Central and Western District

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job details

central and western district
banking & financial services
job type
reference number
charles lai, randstad hong kong
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job description

about the company

Our client is a Private Bank seeking an experienced Loans officer in Hong Kong.


Report to Compliance Manager and work closely with Head of Risk Mgt & Strategy Group for
supporting business operations
Assist the Compliance Manager in reviewing the Internal and external control reports
Keep the up-to- date regulatory and legislative change such as the circulars and e-mail
correspondence issued by HKMA, SFC or other concerned parties etc.
Provide support to management and other units on compliance issues.
Assist to prepare compliance report to management
Assist in revising and updating all the relevant internal compliance and control policies.
Assist to prepare training or briefing material on all new legislation, guidelines, regulation and
code issued by the regulators.
Assist to prepare notice, reports or return to the regulators as stipulated on regular basis or ad
hoc basis in responding to all regulators’ enquiries.
Assist to Coordinate and fulfill the Companies Ordinance requirements with our appointed
company secretary.
Conduct KYC and CDD checking on customer and assist to deal with AML/CTF issue
Provide support on all the administrative works related to the compliance function


Preferably a degree holder in Law, Accounting or related discipline applicable to finance and/or
regulation, but not essential.
Minimum 2-3 years compliance or audit related experience in a sizable financial institutional or
professional firm.
Knowledge of securities laws, finance, operations, products and services would be
Able to demonstrate interest in working within compliance and regulation of the financial
Willing to learn, self-motivated, well-organized and presented, independent and pleasant
personality with good communications skills at all level.
Good command of written and spoken English.

To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Charles Lai on + 852 2232 3417.