Compliance Manager - I&I focus (retail bank)

A retail bank is seeking a seasoned professional to join its compliance team as an I&I Compliance Manager.

Key Responsibilities:

• Provide regulatory advice and guidance on rules and regulations focus on Investment and Insurance;

• Collaborates with business units to review compliance issues in order to address and meet regulatory or business changes;

• Develops, reviews and enforces the compliance programmes in accordance with the policies and guidelines of the bank and regulatory bodies;

• Conducts regular compliance reviews, complaint investigations and internal compliance trainings;

• Liaise with regulators, including HKMA, SFC and IA, etc, handle regulators’ enquiries and information request.

Requirements:

• Degree holder in Business Administration, Finance, Business Law or related disciplines;

• 5 years banking experience in Investment and Insurance compliance;

• Exposure in China financial institutions with relevant compliance experience is highly preferable;

• Substantial knowledge in regulatory requirements relating to banking industry;

• Analytical, proactive, strong organization skills and good team player;

• Proficient in both spoken and written English and Chinese, fluent in Putonghua is a plus.