** This position will be under the Employee Referral Program in Hong Kong.

Department: Compliance

Summary

The incumbent will be a part of the Hong Kong and APAC Central Compliance team, reporting to the Head of Central Compliance, APAC. He or she is expected to be an effective individual contributor with a high degree of subject matter expertise in regulatory compliance themes.

The Central CPL team will be connected with and support the Global CPL Head of Ethics & Advisory, Global CPL Head of ICBRC and CPL General Secretary. The primary areas of responsibility are the following:

• Hong Kong regulatory compliance with a focus on managing relationship with the HKMA and SFC and implementation of regulatory projects/requirements;
• Regional coordination and implementation of global projects/initiatives in APAC from Global CPL in Ethics & Advisory, ICBRC and General Secretary
• Enhancement of Compliance framework in Hong Kong and APAC  

Key Responsibilities

Group Compliance

• Support the Head of Central CPL, Local Compliance Officers (LCO) and Regional Compliance Officer, APAC.
• Support the Head of Central CPL to maintain regular contact/communication with global colleagues with Ethics & Advisory, ICBRC and General Secretary.
• Establish relationship with colleagues in other functions/departments including IGE, Legal, COO, GIT and business lines.
• Collaborate with and support Central CPL team members (Director and Analyst)
• Design and implement initiatives to enhance Compliance framework in Hong Kong. Support the Head of Central CPL and Director, Central CPL to coordinate among LCOs for implementation in the local offices in APAC. Examples:Annual Compliance Plan, Training Plan, Monitoring and Testing Plan, CPL governance and committees, Risk Assessment and CPL reporting (e.g., CPL KRI/KPI Dashboards etc)
• Collaborate, support and coordinate in APAC on behalf of Global CPL on the implementation of group CPL projects. Collaborate and support APAC Financial Security and GMRC teams in implementation of group CPL projects that have transversal application.
• Design and implement CPL governance texts (GT), policies and procedures (including enhancement of existing GT, policies and procedures). Execute gap assessments and other relevant requirements.
• Execute CPL controls / testing / monitoring. Where needed, provide guidance to junior CPL colleagues.
• Deliver CPL training to bank staff as instructor.

Hong Kong Regulatory Compliance

• Act as one of key contact points for HKMA and SFC on daily BAU communication.
• Collaborate with other Central CPL team members to coordinate implementation of projects and initiatives based on HKMA and SFC requirements.

Personal data provided by job applicants will be used strictly in accordance with the employer’s personal data policies, a copy of which will be provided immediately upon request.

La version française est disponible sur demande à votre RH locale

University graduate, preferably in a finance or accounting related discipline

A minimum of 6-8 years’ regulatory compliance with financial institutions or other relevant experience

• Ability to address issues independently;
• Self motivated and hardworking with a strong sense of commitment and responsibility;
• Good interpersonal skills;

• Strong experience in programme management
• Experience in managing regulatory projects
• Strong analytical and problem solving skills;