Compliance Manager - Regulatory Compliance
at OCBC Futures Investment (Hong Kong) LimitedCE AAE438
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Job description
Bank of Singapore opens doors to new opportunities.
At Bank of Singapore, we are constantly on the lookout for exceptional individuals to join our team. We promote a culture of openness, teamwork and fairness. Most importantly, we invest in our people through our programmes that develop them on both professional and personal levels. Besides attractive remuneration packages, we offer non-financial benefits and opportunities to develop your potential within OCBC Group’s global network of subsidiaries and offices. If you have passion, drive and the will to succeed, rise to the challenge today!
Responsible for the support and implementation of Compliance efforts for the Bank and promotion of an ethical and legally compliance business culture.
Keep abreast of the HK regulatory requirements and implement the requirements with all relevant business units
Conduct various HKMA self-assessment / surveys including but not limited to Code of Banking practice, Deposit Protection Scheme, OTC derivatives margin requirements, IT security
Review Marketing Materials before insurance
Conduct Fit and Proper assessment on Relevant Individual and Executive Office for Type 1, Type 4 and Type 9 license applications
Handle CE/ACE applications
Handle regulator enquiries such as SFC s181, s182
Review cross border guidelines with legal counsel and Head office
Actively participates in appropriate operating committees to provide compliance advice
Prepare various reports for Head office in Singapore
Provide Compliance Training
University degree, preferably with relevant academic qualifications
Minimum 5 years of Hong Kong banking compliance related experience, preferably in private bang / wealth management industry
Knowledge of HKMA / SFC regulatory requirements
Preferable for candidates with HKIB Enhanced Competency Framework (ECF) professional qualification
Excellent in English and Chinese
Good writing and communication skills
Strong risk management perspective and experience, independence, problem analysis and judgement, customer focus
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Licensed entities behind this employer
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5 licensed staffLicence types 2
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Bank of Singapore LimitedCE ALB1350 licensed staffLicence types 1, 4, 9
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OCBC Bank (Hong Kong) LimitedCE AAC0830 licensed staffLicence types 1, 9
Check the firm's licence types and headcount trend before you apply.
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