Job No.: 493915
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: Compliance

Senior Compliance Manager


  • 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


  • 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

We offer competitive remuneration package and comprehensive fringe benefits including medical and life insurance, and different types of allowances to the right candidates. Interested parties, please submit your application online. For details, please visit our website “” 

Data collected would be used for recruitment purposes only. Applicants who do not hear from us within 8 weeks may consider their application unsuccessful and their data will be destroyed within 12 months of receipt.

Job level Middle
Work exp 6 Years
Education Bachelor Degree
Industry Banking
Job function Banking / Finance (Others)
Banking / Finance (Legal / Compliance)
Location Hong Kong
Employment type Full Time
Published On 25/01/2017