Senior Compliance Manager

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A Leading Banking Group




  • To inform the relevant business units of the regulatory implications and actions to be taken (where necessary) in respect of those new enactments/amendments in rules and regulations
  • To establish compliance policies /guidelines for the Bank to follow and perform regular review to ensure they reflect the current regulatory requirements and operational needs
  • To advise the parties concerned on the development of internal policies and appropriate mechanisms to ensure the relevant rules and regulations are being complied with
  • To advise relevant business units on regulatory compliance related matters
    To review and comment on marketing literature, advertisement, terms and conditions or other documents from regulatory compliance perspective upon department’s requests
    To advise business units in the assessment of regulatory compliance risk involved in the existing and new product initiatives
  • To propose and conduct suitable training and/or briefing sessions to strengthen the working knowledge of the staff of the Bank on compliance matters



  • University graduate with a minimum of 7 to 8 years’ compliance experience in the banking, finance or securities sector
  • ** Candidates with private banking experience is highly preferred
  • Sound knowledge of HKMA / SFC regulations is preferred
  • Good presentation and report writing skills
  • A confident, efficient and effective team player with initiative and able to work independently
  • Able to exercise judgment, work under pressure and liaise effectively with the business and supporting units is essential
    Excellent command of both spoken and written English and Chinese
  • Good knowledge of MS Office