Regulatory Compliance Officer

Key Responsibilities:

Compliance Operations

• Monitor and track compliance with regulatory requirements, ensuring adherence to applicable banking laws, standards, and best practices.

• Conduct periodic reviews compliance-related processes to identify gaps and recommend corrective actions.
• Maintain up-to-date records of compliance activities, ensuring timely escalation of non-compliance issues.

Regulatory Reporting

• Prepare, review, and submit accurate regulatory reports in a timely manner, ensuring alignment with requirements set by local authorities.
• Liaise with internal stakeholders to ensure data accuracy and completeness for compliance reporting.

Compliance Monitoring Program

• Conduct periodic reviews to identify and mitigate compliance risks.

• Prepare detailed reports on monitoring outcomes and recommend corrective actions.

• Conduct ongoing surveillance and assessments of the bank's activities to identify potential risks or breaches.

Regulatory Liaison

• Support on regulatory liaison matters (e.g.SDIC).

Policy Reviews

• Assist in updating compliance policies and procedures to reflect current regulatory requirements and also Head Office requirements

Others:

• Support other workstreams on operational risk, business continuity management, third party management and ad-hoc duties assigned by the Head of Compliance

Requirement:

• Bachelor’s degree in Finance, Risk Management, Business Administration or related field
• Minimum 3 years’ experience in Auditor Regulatory Compliance
• Proficiency in English and Mandarin (listening, speaking, reading and writing) to liaise with Head Office colleagues and Chinese-speaking stakeholder.