Senior Business Compliance Officer

Job level Middle
Work exp Minimum 2 Years
Education Bachelor Degree
Tai Kok Tsui
Employment type Full Time
Industry Banking
Job function Banking / Finance > General / Operations
Banking / Finance > Legal / Compliance
Banking / Finance > Risk Management
Published On 31/05/2019
ref. 494804

Job No.: 494804
Employment Type: Full time
Departments: Personal Banking Risk And Integrated Management Department
Job Functions: Audit, Compliance, Risk Management



  • Ensure bank's policies and procedures are in compliance with regulatory requirements
  • Manage and conduct compliance checking to monitor sales activities are in compliance with policies and procedures
  • 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 selling process and sales compliance issues
  • Establish, enhance, monitor and perform compliance controls over the Bank's operations and business activities
  • Coordinate training to staffconcerned on the knowledge and awareness of compliance with the relevant laws, rules and standards
  • Maintain and enhance an effective compliance infrastructure, such as feedback mechanism, to collect frontlines' comments and recommendations, thus to improve the efficiency and effectiveness of sales compliance work



  • Degree or above with major in Business, Accounting, Finance, Marketing, Law or related disciplines
  • At least 2 years experience in financial or banking industries and specialized in compliance or audit works
  • Able to handle multi-tasks independently and work under strictly tight deadlines and pressure
  • Possess strong logical and analytical skills in problem solving
  • Excellent interpersonal and communications skills with good command of English and Chinese in both spoken and written