Regulatory Compliance Manager - Wealth Management Division

Regulatory Compliance Manager - Wealth Management Division (Job ID 3714)

Responsibilities

• Be a team member of Wealth Management Division - Risk and Compliance Section as 1.5 line of defence
• Responsible for ensuring the business and operations of Wealth Management Division in the management of risk and compliance with relevant regulatory requirements, ordinances, banking laws, codes, and internal policies & guidelines initiatives, new products and client-related matters with respect to the applicability of policies, the resolution of potential red flags or other client / transaction- related to compliance escalations
• Handle enquiries from the law enforcement/regulatory authorities and internal customers
• Streamline the working process to achieve effective and efficient result

Requirements

• University graduate preferably in Finance, Business, or Law, with minimum of 5 years’ regulatory compliance experience in the banking or financial industry
• Qualified for or being Certified Operational Risk Management Professional
• Compliance experience in wealth management is an advantage
• Sound knowledge of banking laws and regulations as well as HKMA/SFC regulations is required
• Excellent command of written and spoken English and Chinese

Please apply online via the BEA Careers website at https://careers.hkbea.com/psp/hcmprd/EMPLOYEE/HRMS/c/HRS_HRAM.HRS_APP_SCHJOB.GBL?Page=HRS_APP_JBPST&Action=UFOCUS=Applicant&SiteId=1&JobOpeningId=3714&PostingSeq=1 or by clicking the "Apply Now" button below. Kindly note that if you are a new user, you have to first create your User Profile before you can apply.

Personal data provided by job applicants will be used for recruitment purposes only and will be treated in accordance with the Bank's Personal Data Policy, which is available upon request. Applicants who are not invited for interviews within six weeks may consider their applications unsuccessful and the personal data collected will be destroyed after six months.