- Provide advice to the business units regarding regulatory compliance issues on general banking products/ services (including deposit, loans, credit cards, fintech projects) and business propositions
- Assist the business units in evaluating the risk involved in any new products/services, new procedures and business development
- Participate and assist in regulatory compliance-related projects, initiatives and enhancement
- Establish, review and update compliance policies and procedures, compliance manuals etc. in accordance with the relevant laws and regulations
- Coordinate with the business units and provide guidance to them on handling conduct-related incidents for timely reporting to regulators with proper follow-up measures Liaise with regulators on conduct-related incidents and other compliance related matters
- Assist Team Lead to prepare reports to senior management on key compliance issues
- Keep abreast of the latest development of legal and regulatory requirements, guide the business units to conduct gap analysis for implementing enhancement measures where necessary
- Conduct compliance training for staff in accordance with local regulatory requirements and the Bank's policies and training objectives
- Degree holder or above in Law, Banking and Finance, Accounting or related disciplines
- At least 5 years' experience in legal and regulatory compliance, preferably in banking, financial sectors or regulatory bodies
- Sound knowledge in banking products, regulatory requirements and the market practice
- Good analytical, interpersonal and communication skills with flexibility and adaptability to changes
- Good command of both written and spoken English and Chinese (including Mandarin)
- Proficiency in using Microsoft office
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China Re Asset Management (Hong Kong) Company Limited Hong Kong, 香港 全职Job Description 崗位描述 · 根據香港證監會要求,持續落實公司合規相關工作,識別和評估相關合規風險,確保公司業務符合香港監管要求; · 協助公司牌照和個人牌照的申請(即負責人員及代表); · 安排持續的專業培訓課程,並保持CPT記錄; · 定期審查和更新客戶接受政策和客戶識別程式; · 執行KYC盡職調查,並形成風險分析; · 定期向總部草擬合規報告; · 使用最新的監管規則和指南更新內部合規手冊; · 配合部門主管完成合規相關工作; · 完成領導交辦的其他工作。 · Requirement 崗位要求 · 法律、會計、金融專業本科及以上學 ...
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Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职ResponsibilitiesAssist Team Head to manage a team to provide compliance advice and support for the Bank's general compliance and related matters, in particular to the Bank's middle and back office operations · Maintain, review and update internal policies and procedures, complian ...
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Larson Maddox Hong Kong, 香港 全职Compliance Manager - Chinese Securities · Responsibilities: · Reporting to Head of Compliance · Provide compliance advisory on FICC products within a Chinese security house or retail brokerage. · Ensure adherence to regulatory requirements and guidelines. · Develop and update com ...
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Compliance Manager
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Hang Seng Bank Limited Hong Kong, 香港 全职Job description · A Career with Hang Seng Bank · Hang Seng is committed to service excellence. Our people are our most important asset and play a vital role in our efforts to continually enhance our performance for customers and provide best-in-class products and services. We ...
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Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Responsibilities: Provide advisory services to business units regarding regulatory compliance issues on investment or insurance products/ services · Participate and assist in regulatory compliance-related projects, initiatives and system launch / enhancement · Review policies ...
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Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Responsibilities: Provide advisory services to business units (including retail banking, corporate banking and global markets) regarding regulatory compliance issues on new products/ services and business propositions · Participate and assist in regulatory compliance-related pro ...
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Rapyd Hong Kong, 香港 全职Responsibilities · : Take a leadership role in shaping, implementing, and refining our organization's compliance program to align with regulatory mandates and company objectives. · Maintain an in-depth understanding of industry regulations, laws, and standards, providing expert ...
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HSBC Hong Kong, 香港 Permanent - 全职A Career with Hang Seng Bank · Hang Seng is committed to service excellence. Our people are our most important asset and play a vital role in our efforts to continually enhance our performance for customers and provide best-in-class products and services. We seek to attract hig ...
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The Bank of East Asia Hong Kong, 香港 全职Responsibilities · Prepare annual compliance review plan · Conduct compliance reviews and self-assessments · Prepare regular management reports on compliance updates and issues · Provide recommendations to strengthen the Bank's control framework and follow up the implementation ...
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Zurich Insurance Company Hong Kong, 香港Assist the Head of Compliance to promote ethical and proper business practices. Support in development, implementation and monitoring of compliance programs and training. Provide compliance advice to business units. And assist in counseling the business on matters of risk affecti ...
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Zurich Insurance Company Ltd. HongKong, 香港Assist the Head of Compliance to promote ethical and proper business practices. Support in development, implementation and monitoring of compliance programs and training. Provide compliance advice to business units. And assist in counseling the business on matters of risk affecti ...
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Ashford Benjamin Ltd Hong Kong, 香港 全职Responsibilities: · Responsible for compliance program, policies and procedures · Identify, monitor, and communicate regulatory changes trends and proposals to senior management · Review marketing materials and products, · Liaise with securities regulators and preparing regulato ...
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The Bank of East Asia Hong Kong, 香港 全职Ri · Responsibilities · Monitor the compliance matters related to the operations of pension and trust businesses · Ensure the relevant legislation, rules and guidelines are complied with all applicable regulations, rules, codes, guidelines and standards set by regulators and the ...
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Eclipse Trading Hong Kong, 香港 全职Senior Compliance Manager · Eclipse Trading is one of Asia's leading proprietary trading firms. Founded in 2007, we have over 120 employees across three office locations – Hong Kong (our HQ), Sydney, and Shanghai. Our trading expertise and strategies are deployed across several A ...
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Interfill Group Hong Kong, 香港 全职My client is a small-sized, stable Foreign bank branch in Hong Kong. They are now looking for a new Compliance Lead to lead the compliance department and support all-rounded compliance duties, including regulatory/general compliance and AML related duties. · Key Responsibilities: ...
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Dah Sing Financial Group Hong Kong, 香港 全职About Dah Sing Group · The Dah Sing Group is a leading financial services group in Hong Kong offering banking, insurance, financial and other related services through its growing network of over 70 branches in Hong Kong, Macau and Mainland China. · Our currency is caring, teamw ...
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X-Giants International Hong Kong Limited Hong Kong, 香港 全职Compliance Manager/Senior Manager · Responsibilities: · Compliance Policy and Procedures: Develop and update the company's compliance policies and procedures to ensure business activities comply with national and regional financial regulatory laws. · Regulatory Agency Communicati ...
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Omni Group Asia Ltd. Hong Kong, 香港 全职Responsibilities · Responsible for regulatory compliance matters pertaining to insurance product offerings, sales, and distribution. · Develop and oversee robust compliance programs that effectively address market conduct, regulatory requirements, and internal policies. · Ensure ...
Senior Compliance Manager - Hong Kong, 香港 - Bank Of China (Hong Kong) Limited
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