Compliance - Assistant Manager / Senior Associate / Associate (KYC)

Job level Senior
Work exp 2 Years To 10 Years
Education Bachelor Degree
Language Chinese - Cantonese, Chinese - Mandarin, English
Location Central
Employment type Permanent
Benefits 13-month pay, 5-day week, Dental plan, Discretionary bonus, Education subsidies, Housing allowance, Insurance plan, MPF, Maternity leave
Industry Banking
Job function Legal / Professional Services > Legal & Compliance
Published On 10/11/2016
ref. CM-101116CP

 

 Assistant Compliance Manager (General Compliance - Monitoring)

 Responsibilities:

  • Develop compliance monitoring mechanism to fulfill regulatory and internal control requirements;
  • Identify critical and high risk areas for compliance monitoring;
  • Design and deliver compliance training;
  • Support the development of compliance policy and regulatory update to business units where necessary;
  • Issue regular or ad hoc reports;
  • Assist in promoting compliance culture of the Bank; and
  • Handle ad hoc projects.

 Requirements:

  • Degree holder in law or related disciplines;
  • At least 3 years' solid compliance experience in banking industry focusing on general compliance, preferably with 1 year supervisory role;
  • Familiarity with Banking Ordinance, Securities and Futures Ordinance and related regulatory requirements issued by the HKMA and SFC is a must;
  • Self-motivated, attentive to details and ability to work independently;
  • Analytical, well-planned and able to work under pressure;  
  • Good presentation and communication skills with good command of English and Chinese (including Mandarin); and
  • Conversant with PC skills including Microsoft Office applications.
  • Immediate availability is preferred.

 

Senior Associate – General Compliance

Responsibilities:

  • Conduct compliance monitoring according to the compliance program; 
  • Prepare compliance training materials and related logistics;
  • Support the delivery of training classes;
  • Provide administrative support to the department;  
  • Assist in promoting compliance culture of the Bank; and
  • Handle ad hoc projects.

 Requirements:

  • Degree holder in law or related disciplines;
  • At least 2 years' solid compliance experience in banking industry focusing on general compliance;
  • General knowledge of Banking Ordinance, Securities and Futures Ordinance and related regulatory requirements issued by the HKMA and SFC;
  • Conversant with PC skills including Microsoft Office applications;
  • Be able to multi-task and work under pressure with good interpersonal and communication skills;
  • Fluency in English and Chinese (including Mandarin); and
  • Immediate availability is preferred.

 

 Associate - KYC

Responsibilities:

  • Responsible for compliance review in respect of account opening documents, KYC and CDD checking
  • Liaising with customers to ensure the account opening documents comply with AML requirements and other assignments assigned.

 Requirements:

  • Form 7 or above;
  • At least 2 years' account review experience in banking industry;
  • Detail-mined with good interpersonal and communications skills;
  • Fluent in Cantonese, English and Mandarin.
  • Immediately available is highly preferred.

 

Please send your full resume in Ms Word Format

All information provided will be used for recruitment purpose only

 

Interested parties please quote the job position and send a full application (in Microsoft Word Format) with present and expected salary to banking@spidernetrs.com.hk or fax to 2155 1068