Regulatory Compliance Advisory - Senior Manager to VP

  • HKD75000 - HKD100000 per month
  • Hong Kong
  • Temporary, Full time
  • Non-disclosed
  • 12 Jan 18 2018-01-12

This is a Country Compliance Advisory role which focuses primarily on regulatory reporting, country compliance advisory and regulatory updates. It works closely with a small team. The person will need to be an independent decision maker and also to participate in Regional and Global projects. It sits in the 2nd line of defence, responsible to provide advice to business. Immediately available candidate is highly preferred. This is a 6 months initial contract, with extension or conversion opportunity.

Responsibility

  • Focus on Managing regulatory updates and development, as well as regular communication and reporting
  • Assist with managing bank's relationships with local regulators and exchanges
  • Managing regulatory requests, including ad hoc enquires, risk assessments, annual off-site review, prudential meeting, outsourcing application and supervisory on-site inspections
  • Assist with identifying and prioritising regulatory obligations for the bank
  • Provide compliance advice and input from a country and regulatory compliance perspective on proposed transactions, new products and project initiatives
  • Act as 2nd line of defence and provide overall country compliance support and advisory
  • Participate in industry consultations issued by regulators on changes in rules and regulations
  • Work closely with the business and senior management on new regulation
  • Work closely with legal team in addressing any regulatory enquiry or investigation

Requirement

  • Minimum 5-8 years of Hong Kong banking and securities regulations relating to Investment Banking business
  • Experience in dealing with local regulators in Hong Kong, including SFA and HKMA
  • Candidate with Product Compliance or Regulatory Compliance experience can be considered
  • Good communication skill and detail oriented
  • Ability to make decisions and respond to issues promptly and independently
  • Excellent organisational skill, able to manage daily queries with ongoing projects
  • Experienced in handling and coordinating global or regional projects
  • Immediately Available candidate is highly preferred