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Senior Compliance Manager / Compliance Manager (Compliance Review)

Job No.: 498495
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: Compliance


  • Assist to formulate annual compliance review plan by referencing risk assessment results.
  • Conduct regular/ thematic compliance reviews on an on-going basis covering the Bank and other major financial subsidiaries within the group to ensure adherence to regulatory/ Head Office requirements and internal policies.
  • Coordinate or perform regulatory self-assessments.
  • Keep abreast of regulatory requirements and changes / developments of business and operations of the Group.
  • Depending on the coverage of individual compliance reviews, act as leader of compliance reviews which involve planning, use of review methodology/ tools, field work, reporting of issues.
  • Maximize the application of technology for identification of irregularities and sample selection.



  • Degree holder or above in Banking and Finance, Accounting, IT or related disciplines.
  • At least 5 years' experience in internal audit, compliance, operational risk management preferably in banking, financial sectors or regulatory bodies.
  • Sound knowledge in banking products, regulatory requirements and the market practice.  Proficiency in the use of technology for identification of irregularities and sample selection will be an added advantage.
  • Good analytical, interpersonal and communication skills with flexibility and adaptability to changes.
  • Good Chinese report writing skills and good command of Mandarin.
  • Candidates with less experience will be considered as Compliance Manager.



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