About Our Client Our client is the largest bank in Spain and the 16th largest banking institution in the world. They are now looking for a Compliance Associate to join the compliance team to handle general compliance, compliance monitoring and controls including Personal Account Dealing, licensing, anti-corruption and bribery, surveillance etc. The bank was ranked the 5th largest bank in Europe. They provide a full range of products and services to retail, private and corporate clients.
Responsible for compliance monitoring and controls execution including monitoring of Personal Account Dealing, Licensing, anti-corruption and bribery, surveillance, etc.
Assist the team in daily work contact with the supervisory authorities and to coordinate with different departments of the Bank to ensure compliance with regulators' request; self-assessments and surveys with the local regulatory authorities e.g. HKMA, SFC, DPB, etc.
Handle HK Branch and employees' individual licensing matters, ensuring all employees are properly registered with regulators, as appropriate and comply with relevant licensing requirements (e.g. CPD)
Review Compliance policies, procedures and guidelines in order to ensure the said policies, procedures and guidelines are in accordance with the requirements of laws, regulations and rules and Global requirements
Assist in compliance trainings and coordinate with relevant parties including, HR Department and Corporate Compliance to ensure that compliance trainings are properly rolled out to new joiners and existing employees
Organize the issuance of the compliance guidelines such as the compliance manual and the employees working principles, distribution of key compliance messages to staff
The Successful Applicant
Bachelor's degree with major in accounting, finance or relevant discipline
At least 5 years of working experience in general compliance, compliance monitoring and controls/ regulatory compliance within international bank
Strong knowledge in HKMA and SFC regulations
Excellent verbal and written communication skills in English and Cantonese
Strong communication and interpersonal skills and a great team player