1) For Compliance Review, you will be responsible for conducting independent compliance reviews in assessing the effectiveness of internal policies, procedures and guidelines in compliance with the regulatory requirements. You will be required to liaise with various departments and interview officers to obtain relevant information, review operation guidelines and procedures, conduct test-checking for adherence and propose recommendations for enhancement of the compliance monitoring systems. You will also assist in conducting ad-hoc projects and assignments on compliance related issues.
2) For Anti-Money Laudering, you will be responsible for handling anti-money laundering related compliance activities including ensuring implemented compliance policies are adhered to and well maintained, conducting investigation on suspicious transactions and reviewing anti-money laundering related MIS reports. You will also assist in the handling of banking related compliance matters.
Requirements:
- University graduate in Business Administration/ Accounting/ Finance/ Law or related discipline
- Knowledge in the local banking/securities supervisory framework, and a general understanding of regulatory requirements under the Banking Ordinance, the Securities and Future Ordinance as well as the Supervisory Policy Manuals, Guidelines, Codes and Rules issued by the Hong Kong Monetary Authority and the Securities and Futures Commission.
- At least 5 years' experience in financial services preferably with compliance/ audit experience in banking and securities dealing activities (For Compliance Review)
- At least 5 years' experience in financial services preferably with exposure to anti-money laundering / compliance / audit / risk management. Practical knowledge and experience in anti-money laundering compliance is an advantage (For Anti-Money Laudering)
- Good command of both written and spoken English and Chinese
- Good PC knowledge
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