Compliance Specialist - 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!
What you do
Interpret regulations/ directives, and global/ regional policies; and develops process, policies, procedures and training to support the compliance function in junction with all external and internal standards.
Handle staff dealing issues, provide compliance briefings to new joiners, handle staff registration of licensed staff with HKMA, review and approve Continuous Professional Training/Ongoing Professional Training hours, provide support to handle company secretarial tasks
Provide regulatory support in handling customer complaints
Responsible for the support and implementation of Compliance efforts for the Bank and promotion of an ethical and legally compliance business culture.
Ensuring the participation and execution of compliance standards in the areas of Compliance policy enforcement and professional standards.
Investigate compliance and procedural issues including recommendations to senior management for consequences of potential non-compliance
Partner with senior management and regional compliance teams to achieve desired compliance results.
Actively participates in appropriate operating committees to provide compliance advice
Responsible for conducting process review with members of the local/ regional office to ensure processes and procedures are effectively implemented and utilized.
Provide inputs to senior management on the status of compliance and implementation of regulatory requirements
Assist the promotion and enhancement of Compliance culture and risk awareness of the Bank.
Who you are
University degree, preferably with relevant academic qualifications
Minimum 2 to 5 years of Hong Kong banking compliance related experience, preferably in private bank
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
Preferably with knowledge of PRC laws and regulations.
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, headcount trend and where its people come from and go before you apply.
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