Manager to FVP, Compliance (Investment and Insurance)

Main Responsibilities · Provide compliance advices and supports in the areas of investment & insurance activities, including trust business (“I&I Business”) and manage compliance risks related to these areas of the Bank and its subsidiaries (“CCBA Group”) · Work with relevant parties and provide compliance advice in gap analysis to assess the potential impact of regulatory trends and developments of I&I Business of CCBA Group, and effect CCBA Group’s compliance with any new regulatory changes and developments · Provide compliance advice on licensing and notification matters for CCBA Group in particular for key regulatory positions including but not limited to EO, RO, MIC appointment and cessation · Liaise with the local regulators on compliance matters and regulatory examinations relating to I&I Business of CCBA Group · Liaise with and support relative parties in regular and ad-hoc regulatory surveys and information requests; keep track of the status and ensure submission within stipulated timeframe · Act as the compliance contact for business and supporting units in related to I&I Business of CCBA Group · Review customer communication materials and marketing materials on I&I Business of CCBA Group · Provide training to and promote compliance awareness among associates · Prepare regular and ad-hoc compliance reports · Handle ad hoc projects assigned by supervisor Requirements · University degree in areas relevant to compliance, such as law or accountancy · Good command of written and spoken English and Chinese (including Mandarin) · Minimum 5-8 years of relevant compliance or audit experience · Good knowledge in banking and securities laws, rules and regulations and operations as well as different products and services offered by banks · Attentive to details, self-motivated · Strong analytical, communication and interpersonal skills · Strong organization skill, business acumen and able to meet tight deadline Please specify your current and expected package in your application for reference. Applicants who are not contacted within 8 weeks may consider their applications unsuccessful and their personal data will be retained by the bank for a period up to two years. All information provided by applicants will be used for recruitment purposes only and will be used strictly in accordance with the bank’s personal data policies, a copy of which will be provided upon request.