Job Gallery Consultancy Limited

Contract Compliance Officer, Private Banking

Job Gallery Consultancy Limited
Salary provided
Posted on 23 Sep 2020

Contract Compliance Officer, Private Banking

Job Gallery Consultancy Limited

Job Highlights

  • 5 years relevant experience in Compliance in PB
  • Well versed in SFC / HKMA requirements
  • Degree holder or above

Job Description

Job Duties :
  • 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, etc;
  • 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. 

Additional Information

Career Level
Years of Experience
6 years
Job Type
Contract, Full Time

Company Overview

Our client, a well known Foriegn Private Bank in Hong Kong, is looking for talents to join them.

Our recruitment consultants will provide tailor-made advice for individual job seeker. 

Additional Company Information

Benefits & Others
Dental insurance, Five-day work week, Life insurance, Medical insurance, Performance bonus