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Assist in reviewing new product proposals, policies and procedures to draw attention to compliance concerns
Provide advice to different departments on compliance and regulatory related matters to help them to meet regulatory requirements
Review product documents and marketing materials of different departments to ensure they meet regulatory requirements
Disseminate Circular and Guidelines from regulators and ensure the relevant parties compliance with the regulatory requirement
Assist in conducting survey, self-assessment and questionnaire of regulators
Conduct ad-hoc investigation on non-compliance matters and monitor remedial action to ensure violation of internal and external rules are properly addressed and prevent recurrence of such incidents
Manage the relationship with regulator by coordinating enquiries and investigations by HKMA and SFC and participate in investment related complaint handling team to ensure all these complaints are properly handled
University graduate with major in Business, Finance, Banking, Law or relevant disciplines
Minimum 3-5 years' of relevant compliance experience in banking industry
Familiar with banking and securities operations
Experienced in dealing with regulators with excellent negotiation skills
Self-motivated, independent and able to work under pressure with team management experience
Good command of both written and spoken English and Chinese (including Putonghua)