AVP, Investment and Compliance Review (Legal & Compliance Department)

Responsibilities:

• Provide advisory and/or recommendations to business units on compliance issues relating to investment and insurance business
• Follow up with relevant departments of the Bank to revise procedure to ensure compliance with changes in regulatory requirements
• Formulate compliance monitoring programmes, conduct compliance review, prepare compliance reports and liaise with various business units to follow up on report findings
• Prepare training materials and organize in-house compliance training to staff member
• Liaise with regulatory authorities for onsite review, handle regulatory survey and request from regulators
• Prepare internal and external reports
• Assist on ad hoc compliance related tasks

Requirements:

• Bachelor Degree or above in Business, Finance, Law or related discipline
• Minimum 5 years solid experience in compliance, audit or banking monitoring related role
• With solid knowledge in investment and insurance rules and regulations
• Strong analytical and communication skill, good team player, can work under pressure, attention to details
• Familiar with Microsoft Office (Excel, Word, PPT)
• Fluent in written and spoken Chinese and English, including Putonghua
• Candidate with less experience will be considered as junior position