Senior Compliance Manager

Full-time
Senior (6-10 years)

Posted 

Technical Skills

  • Accountancy
  • Compliance
  • Listing Rules
  • Project Management
  • Risk Assessment
  • Training

Job Description

Senior Compliance Manager

Location: Hong Kong

Responsibilities

  • Assist in contact with local regulators - e.g., coordinate BOCHK response to regulatory inspections, maintain reporting obligations, and resolve inquiries
  • Assist legal, compliance, and reputation risk management of the BOCHK Group
  • Assist compliance monitoring
  • Assist to track key regulatory changes and ensure relevant business divisions are notified
  • Liaise with the compliance function at other business divisions
  • Provide compliance input to the business for BOCHK's broad array of products
  • Advise the business on BOCHK policies affecting local products and initiatives
  • Assist the business in drafting policies and procedures, compliance manuals, and core control documents that meet local regulatory and BOCHK requirements
  • Update / continuously improve compliance documents to ensure they reflect current regulation, industry best-practice, and changes in BOCHK business structure and activities
  • Conduct training for staff in Hong Kong in accordance with local regulation and BOCHK quarterly training objectives
  • Participate in compliance risk assessments, reviews and testing
  • Provide meaningful contribution to ad-hoc projects, compliance team initiatives, practice groups

 

Requirements

  • Degree or above with major in Law, Banking and Finance, Accounting or related disciplines and professional qualifications
  • At least 6 years' experience in compliance, legal or regulatory fields of financial services industry gained in Hong Kong regulatory requirements
  • Possess Accounting, Legal, or Financial qualifications
  • Extensive knowledge of Hong Kong regulatory requirements with strong understanding of the Listing Rules and Banking Ordinance
  • Good interpersonal, managerial, communication skills and cultural awareness
  • Effective time and project management skills
  • Heightened sensitivity to and refined judgment in identifying and assessing concealed risks and collateral consequences of activities in jurisdictions having opaque and emerging legal and regulatory regimes
  • Excellent command of written and spoken English and Chinese. Fluent in Mandarin is an advantage
Employment TypeFull-time
Career LevelSenior (6-10 years)
Education LevelNon-specified
LanguageEnglish, Cantonese, Mandarin (Putonghua)
Bank of ChinaInvestment Banking and Brokerage

24/F Bank of China Tower 1 Garden Road Hong Kong

directions_walk10 mins walk from Admiralty Station