Compliance Manager, Regulatory Compliance – Legal & Compliance

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • 16 Apr 19

To advice business units on compliance and regulatory issues, to oversee regulatory changes and to manage licensing applications for senior executives.

Job Descriptions:

  • Advice business units on compliance and regulatory issues, including new activities and ad hoc requests
  • Oversee regulatory changes and updates, and ensure compliance related policies are in line with regulatory developments
  • Manage and coordinate licensing applications for senior executives
  • Conduct compliance assessments and reviews on key regulatory issues from a second line of defense
  • Communicate with stakeholders and recommend corrective actions and solutions to complex issues, and monitor for completion


  • University degree or above in Accounting & Finance, Economics, Business Administration, Law or related disciplines
  • Minimum 5 years’ working experience in banking, with relevant exposure to anti-money laundering / compliance / banking regulatory bodies / internal audit / risk management
  • Ability to work independently and make prompt decisions
  • Strong analytical and interpersonal skills
  • Good knowledge in banking laws, operations, products and services
  • Good command of written and spoken English and Chinese (including Putonghua)
  • Candidate with less experience will be considered as Assistant Manager