Senior Business Compliance Manager

Job level Middle
Work exp Minimum 5 Years
Education Bachelor Degree
Language Chinese - Cantonese, English
Not Specified
Employment type Full Time
Industry Banking
Job function Banking / Finance > Legal / Compliance
Banking / Finance > Private Banking / Wealth Management
Banking / Finance > Risk Management
Published On 21/05/2019
ref. 493678

Job No.: 493678
Employment Type: Full time
Departments: Personal Banking Risk And Integrated Management Department
Job Functions: Quality Assurance, Risk Management, Compliance



  • Ensure bank's and / or its subsidiaries' policies and procedures are in compliance with regulatory requirements
  • Provide a pro-active advisory and consultative service to the Business on compliance and regulatory issues, and supervise regular operations compliance monitoring program on risky areas
  • Analyze potential risks of non-compliance and identify areas for improvement, thus to work out remedial measure and make recommendations accordingly
  • Monitor the implementation of rectifications and enhancement measures in relation to operations compliance issues
  • Formulate, evaluate, and roll-out the adequacy of control procedures, make recommendations for improvement and constantly monitor high risk areas
  • Manage and enhance an effective compliance and control infrastructure, such as feedback mechanism, to collect frontlines' comments and recommendations, thus to improve the efficiency and effectiveness of compliance work


  • Degree or above with major in Business, Accounting, Finance, Marketing, Law, or related disciplines
  • At lease 5 years solid experience in Compliance or Audit works with exposure in Financial or Banking industries
  • Sound business knowledge in Banking / Financial / Brokerage operations and regulatory requirements
  • Able to handle multi-tasks independently and work under strictly tight deadlines and pressure
  • Possess strong logical and analytical skills in problem solving and demonstrate high intellectual of curiosity
  • A flexible self-starter with ability to evaluate and prioritize risk
  • Excellent interpersonal and communications skills with good command of both spoken and written English and Chinese