Our client is a wholly-owned subsidiary of one of the largest commercial banks in Korea. The Company is Korea's pioneer off-shore investment platform and received its HKMA and SFC licenses in Hong Kong.
This is a general compliance role (including AML, License registration, CPT, HKMA reporting, business advising etc), be the MIC and S72B manager with regulators.
- Initiate, prepare, review and update compliance policy, compliance manual and other legal and procedural documents
- Monitor and keep abreast of all legal and regulatory requirements in Hong Kong as well as any changes thereof and liaise with officers of HKMA and other relevant regulatory institutions, internal and external counsel.
- Coordinate with the compliance department of HQ to ensure adherence to compliance and regulatory requirements in Korea.
- Prepare and submit all necessary compliance related reports to the relevant regulatory agencies, including HKMA and Financial Supervisory Service in Korea, if deemed necessary.
- Provide reports on a regular basis, and as directed or requested, keep the management informed of the operation and progress of compliance efforts.
- Advise management on any legal and regulatory changes and updates that may impact the bank's operation and business.
- Provide compliance advice to business and business support units on regulatory requirements and promotes compliance awareness within the company.
- Develop and implement an effective compliance training program, including appropriate introductory training for new employees and ongoing training for all employees.
- Monitor and ensure that all security matters within the premises are adhered to on a regular basis and train, discipline employees for office security.
- Develop an effective ongoing inspection program to make sure that all business transaction is carried out in accordance with pertinent policies and regulations and in due course.
- Liaise with internal auditors.
- HKMA Returns review.
- Bachelor degree or above in Accounting, Laws or related disciplines
- Minimum 5 years of working experience in compliance of banking industry
- Well-verse in HKMA, SFC and other banking related legislations and guidelines
- Hands-on exposure of working and liaison with regulatory bodies.
- Good command of written and spoken English and Chinese (Cantonese & Mandarin)
Click "Apply Now" to apply for this position or call Sophia Liang at +852 3180 4960 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.