Assistant Manager, Compliance (PWM)

Responsibilities :

• Review and enforce compliance programs in accordance with the policies and guidelines of the bank and regulatory bodies;
• Handle enquiries from regulators such as HKMA/SFC/DPB and coordinate onsite/offsite/ad -hoc surveys;
• Conduct regular and ad-hoc compliance reviews and self-assessments; 
• Assist in compliance-related projects, initiatives, and system launch/enhancement;
• Keep track of key regulatory changes and notify relevant units/divisions;
• Deliver and provide internal trainings on compliance related issues; 

Requirements :

• Degree holder in Finance, Law, Accounting, Business Administration or related disciplines;
• At least 5 years’ experience in general compliance, experiences gained from banking or financial sector is preferred;
• Sound knowledge in HKMA/SFC related regulations, guidelines and practices;
• Self-motivated with good communications skills, able to work under pressure with tight time schedule; Proficient in both spoken and written English and Chinese (including Putonghua).