Compliance Manager / Assistant Compliance Manager / Senior Associate - General Compliance / AML

Job level Senior
Work exp 2 Years To 10 Years
Education Bachelor Degree
Professional Qualification CAMS
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 23/09/2016
ref. CM-230916CP

Compliance Manager (General Compliance – Advisory)

Responsibilities:

  • Provide compliance-related guidance / advice to business units;
  • Keep track of regulatory development and inform relevant business unites;
  • Participate in development, review and implementation of compliance plan, manuals, policies and procedures to ensure due compliance with local and head office’s regulatory requirements and internal policies;
  • Handle routine and ad hoc survey, questionnaire completion, inquiry or information request from regulatory bodies or head office;
  • Prepare routine or ad hoc reports;
  • Deliver compliance training; and
  • Handle ad hoc projects.

 Requirements:

  • Degree holder in law or related disciplines;
  • At least 6 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;
  • Proactive team player, able to work independently, good interpersonal and communication skills;
  • Analytical, meticulous, well-planned, able to work under pressure;  
  • Strong language skills in English and Chinese (including Mandarin);
  • Conversant with PC skills including Microsoft Office applications; and
  • Immediate availability is preferred.

 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.

Assistant Compliance Manager - AML

 Responsibilities:

  • Follow up and monitor the account opening documents to ensure compliance with AML requirement;
  • Perform regular KYC compliance review on existing accounts;
  • Provide AML/ KYC opinion to business units within the Group;
  • Support in a range of AML compliance training to staff regularly;
  • Handle ad hoc projects assigned by the management.

 Requirements:

  • University degree holder in Law, Accounting, Finance or related disciplines;
  • With5 years banking experience and at least 3 years AML related work background;
  • Well-versed with local AML rules and regulations;
  • Strong logical and analytical skills in problem solving;
  • Able to multi-tasking and work under strictly tight deadlines;
  • Good analytical, interpersonal and communications skills;
  • Candidate with CAMS certificate will be preferred;
  • Fluency in English and Chinese (especially Mandarin).

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.

 

 

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