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Officer (Regulatory Compliance) - Compliance Department

Chong Hing Bank

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Officer (Regulatory Compliance) - Compliance Department

Full-time
Intermediate (3-6 years)

Posted 

Technical Skills

  • Accountancy
  • Audit
  • Bonds
  • Compliance
  • Futures
  • Internal Control
  • Risk Management
  • Sales

Job Description

Officer (Regulatory Compliance) - Compliance Department

    Responsibilities:
  • Conduct compliance review on selling of investment products to ensure full compliance with regulatory requirements and the Bank’s policies
  • Assist in compiling compliance testing programs and self-assessments for selected business areas
  • Assist in reviewing replies to customer complaints
  • Prepare regular monitoring review reports for management
  • Perform other ad hoc projects or assignments
    Requirements:
  • Degree in Risk Management, Accounting, Finance or related discipline
  • Minimum 3 years of relevant experience in banking compliance, audit or internal control
  • Conversant with banking rules and regulations such as Banking Ordinance, Securities and Futures Ordinance, HKMA Supervisory Policy Manual, etc
  • Understanding of investment products such as funds, bonds, securities, would be an advantage
  • Good communication and interpersonal skills, able to work with stakeholders at different levels
  • Well-versed in spoken and written English and Chinese
Employment TypeFull-time
Career LevelIntermediate (3-6 years)
Education LevelBachelor
LanguageEnglish, Cantonese
Chong Hing BankFinancial Services, Retail and Commercial Banking

Chong Hing Bank Centre, 24 Des Voeux Rd Central, Central

directions_walk3 mins walk from Central Station