Manager, Compliance Advisory

ZA; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

ZA in Hong Kong is seeking a Manager, Compliance Advisory to lead compliance advisory efforts, ensure alignment with HK regulatory requirements, and support internal policy development.

The role focuses on advising on regulatory matters, training staff, and collaborating with Legal, Risk, and Operations to mitigate compliance risks. The position requires deep HK regulatory knowledge and strong analytical abilities.

Qualifications

• Bachelor’s degree in Law, Finance, Business, or related field
• Minimum of 5 years of experience in compliance advisory roles within the banking or financial services industry
• In-depth knowledge of Hong Kong regulatory frameworks and industry best practices
• Strong analytical, problem-solving, and communication skills
• Proven ability to manage multiple priorities in a fast-paced environment

Responsibilities

• Provide expert compliance advisory aligned with Hong Kong regulatory requirements (e.g., SFC, HKMA)
• Develop, review, and enhance compliance policies, procedures, and controls
• Conduct regular training sessions to ensure staff awareness and adherence to compliance standards
• Identify, assess, and mitigate compliance risks associated with the business and operational activities
• Perform compliance risk assessments and audits, and provide actionable recommendations
• Act as the primary compliance contact for the businesses, offering timely and practical advice on complex compliance issues
• Collaborate with internal stakeholders, including Legal, Risk, and Operations, to ensure a cohesive approach to compliance
• Prepare and present compliance reports to senior management and regulatory bodies as required
• Monitor and report on key compliance metrics, ensuring transparency and accountability

Job description

We are seeking a highly skilled and experienced Manager, Compliance Advisory to join our dynamic team in Hong Kong. This role will primarily focus on providing compliance advisory services for our business, ensuring adherence to regulatory requirements and internal policies.

Key Responsibilities:

Regulatory Compliance:

• Provide expert advice on compliance matters , ensuring alignment with Hong Kong regulatory requirements (e.g., SFC, HKMA).
• Monitor and interpret regulatory updates, assess their impact on business operations, and implement necessary changes.

Policy Development and Implementation:

• Develop, review, and enhance compliance policies, procedures, and controls.
• Conduct regular training sessions to ensure staff awareness and adherence to compliance standards.
• Identify, assess, and mitigate compliance risks associated with the business and operational activities.
• Perform compliance risk assessments and audits, and provide actionable recommendations.

Advisory Support:

• Act as the primary compliance contact for the businesses, offering timely and practical advice on complex compliance issues.
• Collaborate with internal stakeholders, including Legal, Risk, and Operations, to ensure a cohesive approach to compliance.

Reporting and Monitoring:

• Prepare and present compliance reports to senior management and regulatory bodies as required.
• Monitor and report on key compliance metrics, ensuring transparency and accountability.

Qualifications:

• Bachelor’s degree in Law, Finance, Business, or a related field. Advanced degrees or professional certifications (e.g., CAMS, CFA) are a plus.
• Minimum of 5 years of experience in compliance advisory roles within the banking or financial services industry.
• In-depth knowledge of Hong Kong regulatory frameworks and industry best practices.
• Strong analytical, problem-solving, and communication skills.
• Proven ability to manage multiple priorities in a fast-paced environment.

Mandatory Reference Checking Scheme

Mandatory Reference Checking Scheme (MRC Scheme) may be applicable for certain relevant positions. It is a standardised reference-checking arrangement that is designed to support the integrity of "authorized institutions" regulated by the Hong Kong Monetary Authority (HKMA). Pursuant to the MRC scheme, our Bank will conduct a mandatory reference check by requesting information from each relevant former and current employer of applicants. For more details about the MRC Scheme, please visit the website of the Hong Kong Association of Banks: https://www.hkab.org.hk/en/page/5/mandatory-reference-checking-scheme-phase-2

Applicants who are not invited for an interview within the 8 weeks after submission of application may assume their applications unsuccessful. We may review applications received for suitability for other posts within the Company. All personal data provided will be treated in strict confidence and used strictly for recruitment-related purposes only. We shall retain the personal data of unsuccessful applicants for a period of 24 months upon receipt of such application.