Manager / Assistant Manager, Legal and Compliance

Responsibilities:

• Ensure that the Bank’s Compliance Manual and all policies and procedures prepared by Legal and Compliance Department are kept up to date;

• Monitor the Bank's Wealth Management business / Global Banking / Corporate / Investment Banking business and products are in compliance with the relevant rules, regulations required by the regulatory bodies in Hong Kong and Taiwan; 

• Conduct regular compliance monitoring testing on regular basis in accordance with yearly Compliance review plan; 

• Provide Compliance, Legal and Risk advisory to business teams, Operational and support Heads from time to time;

• Facilitate regulator and/or consultant performing on-site or off-site review, and implement the required corrective action and rectification plan to senior management;

• Prepare, coordinate and timely submission of the HKMA/SFC monthly, quarterly Survey, Self-assessment reports and etc;

• Regularly liaise and communicate with regulators to ensure compliance questions and management oversight are immediately addressed;

• Coordinate and respond to queries from Head office Compliance, Risk, IT, Product Management, auditor as well as oversea regulators; and

• Lead and conduct training to enrich our staff awareness of regulatory updates and/or ordinances.

Requirements:

• University graduated in Finance, Law, Business Administration, or relevant disciplines;

• Minimum 3-4 years' experience in Compliance, banking, law practicing gained from financial institutions;

• Proficiency in both HKMA, SFC and IA regulations, Risk management processes, Investment products and services;

• Detail-oriented, mature and able to work independently;

• Good communication and interpersonal skills;

• With ECF-Compliance certification a definite advantage;

• Proficient in both written and spoken English and Chinese (Mandarin and Cantonese).