(Senior) Compliance Manager - Financial Markets Compliance

Responsibilities

• Provide professional regulatory advice to financial markets’ business lines on products and services, review product due diligence and related policies and procedures;
• Support the establishment, implementation and update of compliance policies, procedures; provide trainings across business and operation teams to ensure strict compliance with group and regulatory requirements;
• Working with internal stakeholders and provide support on licensing and registration matters when required;
• Provide guidance to business units on the handling of conduct-related incidents to ensure timely reporting to regulators and monitor the implementation of the rectification measures;
• Attend to regulators’ enquiries and information requests in relation to compliance related matters and coordinate with regulators and internal stakeholders as necessary;
• Keep abreast of the latest development of legal and regulatory requirements, guide business units in conducting gap analysis and provide compliance advice as necessary, monitoring the implementation progress and carry out post-implementation review on a risk basis; and
• Coordinate business units in submission of information as requested by regulator(s) and/or the parent bank from time to time; monitor compliance thresholds and prepare reports to regulator(s) and/or the parent bank as and when required.

Requirements

• Degree holder or above in Law, Banking and Finance, Accounting or related disciplines;
• 5-8 years' relevant experience in regulatory compliance and control roles in banking, financial sectors or regulatory bodies is preferred;
• Sound knowledge in financial market products/services, the relevant regulatory requirements and market practice;
• Good project and stakeholder management, analytical and problem-solving skills, excellent communication skills in both English and Chinese (including Putonghua);
• Self-motivated and ability to work under pressure in a fast-paced environment; and
• Fast learner with an open mindset towards new initiatives