Manager, Compliance Advisory

China CITIC Bank International Limited; Hong Kong; On-site; HKD 600,000 - 900,000; Full time

Job summary

China CITIC Bank International Limited is seeking a seasoned compliance professional to support reference checking and regulatory compliance in investment, insurance, retail, corporate and treasury products. The role requires strong knowledge of HKMA expectations, English and Chinese communication, and the ability to advise business units, review procedures, and coordinate with regulators.

The incumbent will collaborate with Compliance Assurance, conduct investigations into complaints, update

Qualifications

• Degree holder in Law, Business Administration or related disciplines.
• Minimum 5 years' banking, legal, general audit or compliance experience in a sizable financial institution and/or regulatory bodies.
• Holder of ACOP Certificate under the HKMA ECF on Compliance is preferred.

Responsibilities

• Provide compliance advisory support across Investment, insurance, retail, corporate and Treasury Products to the Bank's business and support units.
• Develop, implement and regularly review policies and procedures for operations with regard to regulatory requirements.
• Advise management on compliance issues and regulatory trends in designated areas.

Skills

Regulatory compliance

English & Chinese proficiency

Banking regulations

Investigations

Training & awareness

Education

Law

Business Administration

Related disciplines

Job description

Mandatory Reference Checking Scheme (“MRC”) for Hong Kong

Country of Location: China Hong Kong

Job Responsibilities:

• In charge of the provision of compliance advisory support in specified areas in relation to Investment, insurance, retail, corporate and Treasury Products to all business units and support units of the Bank
• Provide support and advice to business and / or supporting units in the development, implementation and regular review of policies and procedures for their operations with due regard to all applicable regulatory requirements in the Specific Area
• Assist Team Head to advise management on compliance issues and potential impact of regulatory trends and developments in designated areas
• Collaborate with Compliance Assurance and Control Room Compliance team in performing compliance monitoring program on the Bank's various activities in investment compliance if necessary
• Conduct compliance review on complaint cases and provide necessary advice in the area of designation
• Undertake investigations into any complaints reported or made by both internal and external customers in the area of designation
• Assist in review of the current compliance controls of the Bank and identify proper actions for improvement if necessary in the area of designation
• Assist in performing regular tracking on all outstanding regulatory issues or findings yet to be solved or responded
• Assist Team Head to enforce the General Compliance Manual of the Bank in the Specific Area
• Liaise with regulators and handle the ad hoc examination, surveys, enquiries
• In charge of updates on operation manual for the department in the Specific Area
• Raise and maintain compliance awareness among staff by providing them with relevant information, publications and training on compliance matters
• Take up other assignments from time to time directed by the Team Head or the management of Compliance Department

Requirements:

Degree holder in Law, Business Administration or related disciplines; Minimum 5 years' banking, legal, general audit or compliance experience in a sizable financial institution and/or regulatory bodies; Holder of Associate Compliance Professional (ACOP) Certificate under the HKMA ECF on Compliance is preferred; Expertise in compliance regulations and practices and have good understanding on regulators’ expectation; Good command of written and spoken English and Chinese (including Putonghua).

中信銀行(國際)有限公司 中信銀行(國際)有限公司（「信銀國際」）是中信集團境外商業銀行業務主要平台，由中信銀行股份有限公司（「中信銀行」）全資子公司中信國際金融控股有限公司（「中信國金」）持有75% 股份。

中信銀行(國際)業務網絡覆蓋香港（21家零售網點、2家商務理財中心及1家私人銀行中心），以及位於美國、新加坡和中國澳門分行，同時通過全資子公司在中國境內提供銀行服務。

自1922年起，中信銀行(國際)與員工、客戶及夥伴一同成長，跨越一個世紀。未來將繼續以「敏捷 專業 化繁為簡」為願景，堅持「文化為本（Culture）、客戶為尊（Customer）、多方聯動（Collaboration）、科技引領（Cyberspace）」4C核心價值，積極踐行「為客戶謀價值，為員工謀幸福，為股東謀效益，為社會盡責任」的企業使命。

有關中信銀行(國際)的進一步資料，請瀏覽www.cncbinternational.com。

China CITIC Bank International Limited China CITIC Bank International Limited (“CNCBI