AVP/VP, Investment & Insurance Compliance

Main Responsibilities:

- Provide support in the areas of investment and insurance compliance for various business segments of the Bank, such as retail banking, private banking, commercial banking, and its subsidiaries (*CCBA Group*)
- Disseminate regulatory updates to relevant parties timely; work with relevant parties and provide compliance advice in gap analysis to assess the potential impact of regulatory trends and developments of investment and insurance activities, and effect the bank's compliance with any new regulatory changes and developments
- Provide compliance advice on licensing and notification matters for CCBA Group in particular of key regulatory positions such as RO, EO, MIC appointment and cessation
- Liaise with the local regulators, including but not limited to HKMA, SFC, IA and HKEX, on compliance matters and regulatory examinations relating to investment and insurance activities of CCBA Group
- Liaise with and support relative parties in regular and ad-hoc regulatory surveys and information requests; keep track of the status and ensure submission within stipulated timeframe
- Act as the compliance contact for business and supporting units of CCBA Group in relation to investment and insurance activities
- Review customer communication materials and marketing materials on investment and insurance activities for various business segments of CCBA Group
- Provide training to and promote compliance awareness among the associates
- Prepare regular and ad-hoc compliance reports
- Handle ad hoc projects assigned by supervisor

Requirements:

- Degree holder in Business, Accounting, Law or related disciplines
- Good command of written and spoken English and Chinese (including Mandarin)
- Minimum 7 years of solid compliance or audit experience in SFC licensing and reporting matters an advantage
- Good knowledge in banking and securities laws, rules and regulations, knowledge in regulatory requirements and operations of trustee / custodian business an advantage
- Attentive to details, self-motivated, a good team player and able to work independently
- Strong analytical, communication, writing and interpersonal skills
- Strong organization skill, business acumen and able to meet tight deadline
- Candidates will less experience will be considered for Assistant Vice President

Applicants who are not contacted within 8 weeks may consider their applications unsuccessful and their personal data will be retained by the bank for a period up to two years.

All information provided by applicants will be used for recruitment purposes only and will be used strictly in accordance with the bank's personal data policies, a copy of which will be provided upon request.