Compliance Analyst - Regulatory Compliance & Testing

Mega International Commercial Bank Co., Ltd., Hong Kong Branch 

兆豐國際商業銀行有限公司，香港分行 

We are a well-established commercial bank in Taiwan with a long history and solid track record. As a member of a Taiwan-listed financial conglomerate with global presence, we provide diversified banking and financial services to meet the evolving needs of our customers. Our Hong Kong Branch is currently inviting high- calibre professionals to join our team and pursue success with us. 

Principle Responsibilities :

• Assist Head of Compliance to establish, maintain, and implement the compliance control framework to ensure our Branch operates in compliance with all applicable statutory and regulatory requirements 
• Review and advise on other policies and procedures of business functions except for AML/CFT compliance framework  
• Keep the Branch updated of regulatory changes and inform relevant divisions of the changes and advise the impact  
• Review gap analysis and action plan conducted by business/functional divisions, follow up with the proposed actions and report to the senior management 
• Conduct day-to-day operation of the General and AML/CFT Compliance Testing Program of the Branch 
• Identifies potential issues from the compliance review or testing results, communicate and discuss with relevant business division of the compliance testing results and advise remedial actions 
• Prepare compliance review/testing reports for management review and Follow up action plans for resolution of problematic issues stemming out from compliance testing   
• Assist in handling regulatory enquiries, questionnaires, surveys, reviews required by the HKMA, SFC, IA and other competent authorities, regulatory bodies 
• Assist in regulatory filings and licensing matters with local regulators 
• Provide compliance advice and guidance to the Branch’s management and employees 
• Assist Head of Compliance of the Branch to handle complaints from customers or regulator to the Branch 

Qualification required : 

• Possess at least 1 - 3 years or above solid experience working in Compliance or AML Division or Internal Audit of banking institutions or reputable audit/advisory firms in Hong Kong 
• Experience in Policy and Procedures formulation and amendment including gap analysis of regulatory requirement amendment would be appreciate  
• Experience in Compliance Monitoring and Testing and annual self-assessment exercises is a definite advantage 
• Familiar with AML/CFT, HKMA, SFC and IA regulations and Investment Product Suitability Framework is a definite advantage 
• Strong analytical and problem solving skills 
• The ability to make decisions and independent judgment calls autonomously 
• Ability to multi-task and take responsibility in challenging situations 
• Competency in Chinese and English is a must. Fluent Mandarin is an advantage. 
• Can work under pressure and is a team player 

Candidates with less experience will be considered in a junior role in the division.