Incorporated in November 1950, Shanghai Commercial Bank Ltd. is one of the most well known local Chinese banks in Hong Kong. At present, there are more than 40 local and overseas branches. The Bank has always been pursuing the motto of its founder, Mr. Kwang-pu Chen, to 'Serve the Community'. The Bank's slogan of 'For Personalized Service' and 'All in a Family' denotes the Bank's devotion to providing personalized services to its clients and promoting a harmonious relationship among its staff members.
Responsibilities:
- Collaborate with relevant departments and provide compliance guidance during the gap analysis to assess the impact of new regulatory changes that are applicable to the Bank Group
- Provide compliance advices and business support in the areas of securities business and other regulated activities to meet the regulatory standard or business changes
- Review new product and services proposals (e.g. product documents, selling process, marketing and training materials), and the relevant policies and procedures
- Assess potential compliance issue revealed from operational risk incidents and complaints
- Support business units in conducting regular and ad-hoc regulatory surveys and handle follow-up questions raised by the regulator(s)
- Assist to develop, review and implement compliance plan, the relevant guidelines/procedures and conduct compliance related training
- Handle ad hoc tasks assigned by supervisor
Requirements:
- Degree holder in Finance, Banking, Risk Management, Law or related disciplines
- Minimum of 5 years of relevant experience from banks, securities firms, regulators, or auditors
- Strong knowledge of the Securities and Futures Ordinance (SFO), securities-related rules, and regulations; familiarity with HKEx requirements is advantageous.
- Strong understanding of operations of securities firms and products/services offered by banks
- Responsible, detailed-mind, well-organized with good communication skills
We offer competitive remuneration commensurate with candidate’s background. If you look for a friendly and harmonious working environment with steady career progression, here is the right opportunity for you. Please submit your full resume with current and expected salary to the Human Resources Division by clicking “Apply Now” or visiting https://www.shacombank.com.hk/eng/about/career/Career.jsp.
We are an equal opportunity employer.
Applicants who are not contacted within 8 weeks may consider their application unsuccessful. Applications may be retained for 24 months for consideration of other suitable openings.
All personal data collected will be used for recruitment related purposes strictly in accordance with the Bank's personal data policies, a copy of which will be provided upon request by contacting our Personal Data Compliance Officer.