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The Bank of East Asia, Limited

Senior Compliance Manager / Compliance Manager

The Bank of East Asia Hong Kong
Posted 4 days ago Permanent Negotiable
Together, we can achieve more The Bank of East Asia, Limited ("BEA") is Hong Kong’s largest independent local bank with 64 branches, 54 SupremeGold Centres, and 10 i-Financial Centres throughout the city. With a team of over 3,700 professionals in Hong Kong and more than 9,900 worldwide, BEA embraces a spirit of teamwork in every challenge.  We invite you to become part of our team and to join us on our journey towards a bright and exciting future.

Senior Compliance Manager / Compliance Manager (Job ID: 3491)

 

Responsibilities

  • Responsible for all the risks and compliance issues of Wealth Management Division as a team member of Wealth Management Division Risk & Compliance Section;
  • Monitor the compliance risk and ensure conformity with the Bank’s as well as regulators' compliance requirements for Wealth Management Division;
  • Conduct and review all risk and compliance related assessments and gap analysis;
  • Handle enquires and compliance review from the law enforcement, regulatory authorities and internal customers;
  • Formulate and review risks and compliance related procedure manuals and reports, including FATCA & CRS;
  • Review investment product due diligent, marketing materials and documentations produced by Investment Products & Advisory Department;
  • Investigate and handle customer complaints with treat customer fairly principles;
  • Liaise with stakeholders and manage conflict situations to result win-win solutions;
  • Manage and provide guidance to junior team members.

 

Requirements

  • University graduate preferable in Finance, Business or Law;
  • Minimum of 5 years compliance experience in the banking industry. Compliance & AML experience in wealth management is an advantage;
  • Sound knowledge of banking laws and regulations as well as HKMA/SFC regulations is required;
  • Proficiency in both spoken and written English and Chinese. Fluent in Mandarin is an advantage;
  • Independent and able to work under pressure;
  • Excellent communication and interpersonal skills.

 

Please apply online via the BEA Careers website at https://careers.hkbea.com/psp/hcmprd/EMPLOYEE/HRMS/c/HRS_HRAM.HRS_APP_SCHJOB.GBL?Page=HRS_APP_JBPST&Action=UFOCUS=Applicant&SiteId=1&JobOpeningId=3491&PostingSeq=1 or by clicking the "Apply Now" button below. Kindly note that if you are a new user, you have to first create your User Profile before you can apply.

Personal data provided by job applicants will be used for recruitment purposes only and will be treated in accordance with the Bank's Personal Data Policy, which is available upon request. Applicants who are not invited for interviews within six weeks may consider their applications unsuccessful and the personal data collected will be destroyed after six months.

Job ID  3491
ABOUT COMPANY
Hong Kong
9300 Employees Retail Banking
Incorporated in Hong Kong in 1918, The Bank of East Asia, Limited ("BEA") is dedicated to providing comprehensive corporate banking, personal banking,...
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