Senior Officer/Officer – Compliance Department

Job Responsibilities:

1. Perform general compliance and risk management functions of the Branch.
2. Prepare and review policies and procedures on compliance and risk management.
3. Review and prepare ad-hoc and regular compliance and risk management reports.
4. Monitor and analyze new legislation or regulatory changes and communicate such changes to respective business units.
5. Provide advice to business lines on compliance- and risk-related matters.
6. Assist in responding to enquiries from regulators.
7. Provide training to business lines and promote compliance and risk awareness.

Requirements:

• Education: Degree holder in Law, Accounting, Finance or related discipline
• Experience: Minimum 2 years relevant working experience in financial services industry or accounting practice with exposure in financial services. Candidates with less experience may be considered for the post of Officer.
• Skills/Ability: Strong interpersonal and communication skills; Good analytical and problem-solving abilities, Fluency in English and Cantonese; and Proficiency in MS Office applications, especially Excel data analytical tools.