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Support the Team and provides advice, guidance and support to the Control Room function
Assist the Head of Compliance or the Team Head in the development, deployment and continued oversight of the staff dealing policy and procedure for the Bank and ensure that all relevant units develop and maintain their own staff dealing procedure (if applicable)
Advise the management and the relevant units on the impact on their businesses and functions of applicable external or internal regulations
Approve or endorse the applications of the conflict clearance & staff dealing and provide an independent reporting mechanism to the management
Monitor the staff dealing activities and identify any breaches by regular management reports and the ad hoc compliance review
Provide training and coaching for the relevant staffs to understand and adhere to the policy and procedure
Project-based involvement on risk management initiatives
Over 10 years' experience in banks or well-established financial institutions, preferably working in the control room environment at least for 5 years. Candidates with less experience can also be considered as Compliance Manager
Assertive and mature to be able to interact with various departments and competent to provide advisory services
In-depth knowledge on the control for the conflict clearance and staff dealing as well as the relevant regulatory compliance standards
Excellent people management skills
Independent and with good analytical skills
Proficiency in both spoken and written English and Chinese