Compliance Manager (Local Regulatory Compliance Section) - Central Compliance

The Bank of East Asia (BEA); Hong Kong; Presencial; HKD 1 000 000 - 1 500 000; Tempo integral

Resumo da oferta

The Bank of East Asia (BEA) is seeking an experienced regulatory compliance professional to develop, review, and update policies ensuring alignment with prevailing requirements. You will advise multiple departments on wealth management, banking, and related sectors, and help manage regulator examinations.

The role requires deep knowledge of banking and non-AML regulations, strong analytical skills, and solid English/Chinese communication.

Qualificações

• 6+ years of regulatory compliance experience in financial services (banking, investments, or insurance) non-AML.
• Strong knowledge of HKMA, SFC, PCPD, IA, and MPFA rules.
• ACOP or CCOP certifications are highly preferred.
• HKIB or similar qualifications are advantageous.

Responsabilidades

• Develop, review and update the Bank’s regulatory compliance policies and procedures to align with requirements.
• Advise departments on regulatory compliance issues across wealth management, banking, securities, insurance, MPF, card and lending, deposits, and channel management.
• Gatekeep non-AML regulatory compliance risks from operations with analytics against requirements and expectations.
• Plan and deliver compliance training to staff to raise awareness of compliance issues.
• Ensure issue management including escalation and reporting to management and regulators.
• Handle regulatory compliance inquiries from regulators.
• Coordinate and manage regulator onsite/offsite examinations.

Conhecimentos

Regulatory compliance

Stakeholder management

Analytical thinking

Communication skills

Formação académica

University degree

Descrição da oferta de emprego

• Develop, review, and update the Bank’s regulatory compliance policies and procedures to ensure alignment with the latest regulatory requirements (non-AML topics)
• Provide advice to various departments of the Bank relating to regulatory compliance issues on wealth management and banking business, covering securities/ insurance/ MPF selling, card and lending business, deposit, channel management, etc.
• Gatekeep the (non-AML) regulatory compliance risks arising out of business operations and developments, with insightful analysis of the business data and issues against the applicable regulatory requirements and expectations.
• Plan and/ or provide compliance training to bank staff to raise staff awareness on compliance issues
• Ensure appropriate issue management including escalation and reporting of issues to the management, relevant governance committees of the Bank and regulators
• Handle regulatory compliance related enquiries from regulators
• Coordinate and handle regulator onsite/ offsite examination

Requirements

• University graduate with a minimum of 6 years’ relevant experience in the financial services industry, with exposure to banking (non-AML), investment and/or insurance sales compliance, audit, or risk management
• Strong knowledge of applicable laws and regulatory requirements relating to banking (non-AML), investment and/or insurance sales, including those from HKMA, SFC, PCPD, IA, and MPFA
• Professional certifications such as Associate Compliance Professional (ACOP) or Certified Compliance Professional (CCOP – General Compliance / Investment & Insurance Compliance) are highly preferred
• Additional professional qualifications (e.g. HKIB) will be an advantage
• A proactive and independent team player with strong analytical and problem-solving capabilities
• Ability to exercise sound judgment, work under pressure, and collaborate effectively with stakeholders across business and support units
• Strong presentation, communication, and report writing skills
• Excellent command of both spoken and written English and Chinese

Personal data provided by job applicants will be used for recruitment purposes only and will be treated in accordance with the Bank's Personal Information Collection (Employees) Statement and Privacy Policy Statement. Applicants who are not invited for interviews within six weeks may consider their applications unsuccessful and the personal data collected will be destroyed after 1 year.