Handle regulatory licensing matters including registration/deregistration of Relevant Individuals and other key personnel as required under the Securities and Futures Ordinance
and Hong Kong Banking Ordinance;
Coordinate regular and ad hoc regulatory interaction including survey, self-assessments and other inquiries: understand the purpose of the regulatory surveys received and assist
with the coordination of response preparation, consolidation, review and response;
Assist in compiling various regulatory reporting or filing: understand the bank’s obligation in terms of regulatory reporting and be responsible for the compliance owned regulatory
reporting coordination, preparation, review, response, and etc;
Assist Head of Compliance to perform 2nd line compliance duties to business lines and corporate services areas under the firmwide
Enterprise Compliance Program including carrying out 2nd line independent monitoring and testing and reviewing 1st line’s monitoring and testing.
Prepare internal management reporting, compliance reminder or bulletin, etc;
Execute the monitoring and controls under the Personal Account Trading Compliance Program;
Support the whole compliance Hong Kong team in the record keeping, department SharePoint maintenance, regulatory platform access control and maintenance, team meeting coordination,
Assist to facilitate external regulatory on-site inspections logistics;
Provide legal entity compliance advisory for HK Branch.
Job Requirements :
Bachelor degree with major in economics, finance or accounting is preferred;
Above 5 years working experience in financial markets including banking industry or securities institutions, etc;
Solid knowledge of Hong Kong banking and securities industries and related regulatory governance including knowledge of regulations issued by Hong Kong Monetary Authority and Securities
and Futures Commission;
Good communication skill and can maintain good working relationship with others;
Strong planning, coordination and organizational skills;
Ability to work under pressure and meet dynamic deadlines and priorities;
Work independently under minimal supervision;
Good team work spirit and willing to help others to achieve their target;
Excellent written skills in both English and Chinese;
Fluent spoken English.
All personal data will be collected for recruitment purpose only.