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Business Function Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders.
Provide assistance and advice to BUs on major compliance and regulatory issues and developments
Assist BUs to formulate and develop internal policies, procedures and guidelines to facilitate compliance with regulatory requirements and ethical standards
Ensure compliance of BUs on all applicable laws, rules and regulations
Liaise with regulators on regulatory and compliance matters
Provide training to BUs on key compliance and regulatory matters
Review and advise on rules, regulations, consultation papers issued by regulatory authorities
Work closely with BUs to assist them to establish and implement appropriate policies and procedures for their operations with due regard to all applicable Group and regulatory requirements with an emphasis on Bancassurance
Handle compliance and regulatory assignments such as complaints, regulatory reporting and surveys, regulatory examinations and ad hoc projects
Ensure products and services offered by the Bank are in compliance with the Group and regulatory requirements
Assess, develop and review training materials and conduct training for BUs
Provide advisory services and support to Bancassurance on all relevant compliance issues
Manage day-to-day operation of the Bancassurance compliance program. This includes supporting new business initiatives and product launches. To review product / service marketing materials, proposals and implementation of sale process
Respond and advise on alleged violations of rules, regulations, policies, procedures, and internal code of conduct
Ensure and handle reporting of incidents to regulators
A degree in Law, Finance, Accountancy, or related disciplines, or possession of legal or accountancy professional qualifications
At least 3 years' experience in:
- Insurance sell process and/or insurance products; or - Compliance, legal or audit department of authorized / licensed financial institutions; or - A local or overseas banking or relevant financial supervisory body; or - A professional legal or audit / accountancy firm with banking or financial services compliance / regulatory advisory experience.
Sound knowledge of rules, regulations and statutory requirements of Hong Kong Monetary Authority, Insurance Authority and other regulatory bodies
Apply Now We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.
We regret only shortlisted candidates will be notified.