Senior Compliance Manager (Personal Banking & Fintech Compliance)
Job No.: 499063
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: Risk Management
Responsibilities:
- 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
Requirements:
- 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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