Our client is one of the largest listed companies in Hong Kong engaging in retail banking and wealth management, commercial banking, global banking and markets and private banking.

Our client is one of the largest listed companies in Hong Kong engaging in retail banking and wealth management, commercial banking, global banking and markets and private banking.

Regulatory Compliance Global Banking and Markets Manager (RC GBM Manager)

Job level Middle
Education
Location Hong Kong
Employment type
Industry Banking
Job function Banking / Finance > Corporate Banking
Banking / Finance > Legal / Compliance
Banking / Finance > Retail Banking / Branch Banking
Published On 16/11/2016

 Job Descriptions:

  • Conduct monitoring and surveillance against Global Markets activities
  • Provide compliance advice to business units of the Bank to ensure full compliance with regulatory requirements and group standards
  • Review policies, procedures, marketing materials, new product proposals and customer correspondence, as well as carry out compliance review
  • Support local compliance risk assessments, ensuring that they are completed effectively, with monitoring plans prepared and executed
  • Study the new regulations / consultation papers issued by regulatory bodies and assist in fostering the compliance culture of the Bank
  • Support Global/Regional Compliance Projects
  • Partner with regional / country teams leveraging resources to execute Compliance oversight and support of GBM Business

 

Requirements:

  • University degree or other relevant qualifications
  • Minimum of 7 years' experience in compliance, audit or risk management field in financial services industry, with exposure to the global markets activities or monitoring and surveillance is an advantage
  • Good knowledge of rules, regulations and statutory requirements from the Hong Kong Monetary Authority and the Securities and Futures Commission
  • Strong self-motivation; good communication, interpersonal and analytical skills
  • Proficiency in English and Chinese
  • Great sense of ownership and servicing mindset to ensure efficient and effective customer service processes

 

All interested parties, please send your full resume to our Senior Consultant Eli Wong at eliwong@pplesearch.com.