Compliance Manager – Regulatory Affairs and Advisory Compliance Manager – Regulatory Affairs and  …

OCBC Wing Hang Bank Limited
in Hong Kong
Permanent, Full time
Last application, 22 Jun 21
To be confirmed
OCBC Wing Hang Bank Limited
in Hong Kong
Permanent, Full time
Last application, 22 Jun 21
To be confirmed
Posted by:
Rita Mo • Recruiter
OCBC Wing Hang Bank Limited
Posted by:
Rita Mo
Recruiter
Compliance Manager – Regulatory Affairs and Advisory

Responsibilities:

 

  • Provided advice on investment & insurance businesses for compliance with relevant regulatory requirements
  • Formulate and maintain regulatory compliance related policies and procedures to ensure compliance with regulatory requirements
  • Participate in new product & service review process and advise on investment & insurance compliance perspective
  • Review marketing materials and staff sales script prepared by business units
  • Prepare and deliver investment & insurance compliance training to relevant Bank’s staff
  • Assist in disseminating the latest regulatory requirements to the relevant business or operations units and follow-up with the respective units on the respective implementation plan
  • Assist in preparing and coordinating responses to regulatory inquiries
  • Assist in reporting any compliance related issues to management
  • Handle other ad-hoc tasks assigned by the Head of Compliance or the Team Head
     

Requirements:

  • University degree in Laws, Finance, Accounting or relevant discipline
  • Minimum 5 years' hands-on experience in compliance, audit and related fields 
  • Sound knowledge in banking products, services and operation
  • Good interpersonal, analytical and presentation skills
  • Good command of written English and Chinese

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