Responsibilities
- Review and update the current compliance policies, including but not limited to Banking Ordinance and Securities and Futures Ordinance.
- Advise business bodies and other functions of selling process, staff dealing, licensing and registration, etc.
- Review new product and service due diligence paper to ensure compliance with regulatory requirements.
- Conduct regulatory reviews and gap analyses to identify potential compliance risks and solutions.
- Raise compliance awareness and training among management and stakeholders.
- Assist in enquiries, surveys, and offsite reviews from external regulators.
Job Requirements
- Bachelor's degree holder or above in Business, Finance or a related discipline
- Minimum 6 years of experience in compliance area, preferably gained in banks
- Sound knowledge in HKMA and SFC rules and regulations, with understanding in different business sectors including corporate banking, global markets, and private wealth management
- Proficient in spoken and written English and Chinese
If you believe you have the relevant skill and experience and is interested in this position, kindly get in touch with Winifred Tsang with your CV or call +852 3901 8768 to engage in a confidential discussion.
ALL-STAR is a performance driven recruitment agency offering an elite level of expertise, influence and access to the brightest talent across the banking and financial services landscape. We know performance matters. Staying on top of your game in the competitive world of business doesn’t just happen - success requires a team, united behind a common purpose - never asking how we can be better, but how we can be the best.
We are relentless in our quest for success, both for our clients and our candidates, finding the right people with the right skills for the right roles. We deliver results, not promises, bringing positive transformation for everyone we work with keeping companies and candidates ahead of the curve of to fulfil their business and career growth potential.
We’re a recruitment agency that is calibrated for the market of tomorrow.
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