Together, we can achieve moreThe Bank of East Asia, Limited ("BEA") is Hong Kong’s largest independent local bank with 70 branches, 54 SupremeGold Centres, and 11 i-Financial Centres throughout the city.With a team of over 3,700 professionals in Hong Kong and more than 9,900 worldwide, BEA embraces...

Together, we can achieve more

The Bank of East Asia, Limited ("BEA") is Hong Kong’s largest independent local bank with 70 branches, 54 SupremeGold Centres, and 11 i-Financial Centres throughout the city.

With a team of over 3,700 professionals in Hong Kong and more than 9,900 worldwide, BEA embraces a spirit of teamwork in every challenge. We invite you to become part of our team and to join us on our journey towards a bright and exciting future.

Compliance Manager (Local Regulatory Compliance Section)

Job level Middle
Work exp Minimum 5 Years
Education Bachelor Degree
Location
Not Specified
Employment type Full Time
Benefits 13-month pay, 5-day week, Dental plan, Insurance plan, Maternity leave, Meal allowance, Medical plan, MPF, Paternity leave, Social & recreation facility
Industry Banking
Job function Banking / Finance > Legal / Compliance
Banking / Finance > Retail Banking / Branch Banking
Banking / Finance > Risk Management
Published On 08/11/2019
ref. Job ID: 2379

Responsibilities

  • To be a team member of Central Compliance Department
  • To provide advisory support to the retail banking business units and insurance services unit, covering the wealth management and general banking business areas
  • To provide compliance advisory support on new business/ product initiatives and sales incentive schemes of retail banking units
  • To provide compliance advisory support to business units in addressing local regulatory requirements
  • To conduct gap analysis and formalize action plan with business units to ensure the Bank’s compliance with regulatory compliance requirements
  • To monitor the implementation progress of agreed actions by business units to ensure timely compliance with the regulatory requirements
  • To assist in reviewing complaints related to investment and insurance products/ services
  • To coordinate compliance related regulatory enquiries, reporting and visitations
  • To assist in establishing and performing regular review on compliance related policies and guidelines
  • To plan and work with relevant departments in providing appropriate compliance training to raise staff awareness
  • To assist in preparing management reporting to management
  • To take up ad-hoc projects assigned by supervisors/ management from time to time 


Requirements

  • University graduate; or relevant professional qualification such as AHKIB, CPA, etc.
  • A minimum of 5 years’ working experience in financial services industry with compliance/ audit/ risk management experience
  • Sound knowledge in requirements from Banking Ordinance, Securities and Futures Ordinance, and regulatory requirements issued by HKMA/ SFC/ IA/ PCPD
  • A confident, efficient and effective team player with initiative and able to work independently
  • Able to exercise judgment, work under pressure and liaise effectively with the internal and external stakeholders is essential
  • Good presentation and reporting writing skills
  • Excellent command of both spoken and written English and Chinese
  • Proficient with Microsoft Office suite including Work, Excel and PowerPoint

 

Please apply online via the BEA Careers website at:
https://careers.hkbea.com/psp/hcmprd/EMPLOYEE/HRMS/c/HRS_HRAM.HRS_APP_SCHJOB.GBL?Page=HRS_APP_JBPST&Action=U&FOCUS=Applicant&SiteId=1&JobOpeningId=2379&PostingSeq=1 or by clicking the "Apply on company website" button below. Kindly note that if you are a new user, you have to first create your User Profile before you can apply.

Personal data provided by job applicants will be used for recruitment purposes only and will be treated in accordance with the Bank's Personal Data Policy, which is available upon request. Applicants who are not invited for interviews within six weeks may consider their applications unsuccessful and the personal data collected will be destroyed after six months.