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Assistant Compliance Manager

Employer
Dah Sing Financial Group
Location
Hong Kong, Hong Kong
Salary
Competitive
Closing date
Aug 11, 2024

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Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
About Dah Sing Group
The Dah Sing Group is a leading financial services group in Hong Kong offering banking, insurance, financial and other related services through its growing network of over 70 branches in Hong Kong, Macau and Mainland China.
Our currency is caring, teamwork and progressiveness. We accept that everyone is unique and different in talent, but alike in the capacity for growth. Our task is to shape a culture that creates a sense of pride in achieving something beyond just a job, and an environment where you can be your true and authentic self, like at home.

Job Purpose:
• To assist Group Compliance Division in conducting both regular and ad-hoc compliance reviews in a professional, robust and timely manner in accordance with relevant statutory and regulatory requirements
• To assist Group Compliance Division in providing compliance advice and support to various compliance matters, projects, compliance self-assessments, regulatory surveys/ reporting to the HKMA or other regulators

Main Responsibilities:
• To conduct compliance reviews to analyze the key regulatory risk areas and apply professional judgement to identify regulatory breaches and compliance related control weaknesses
• To prepare compliance review reports and follow up on the implementation progress and remedial actions
• To prepare the management reports for reporting to senior management
• To perform and coordinate regulatory self-assessments and surveys
• To support compliance team in preparing materials for regulatory trainings
• To handle ad hoc requests, projects and day-to-day compliance related tasks of other compliance teams as assigned

Requirements:
Experience
• A Minimum 3 years of experience in financial services preferably with compliance monitoring or audit experience in banking industry
Education
• University graduate in Business Administration, Accounting, Finance, Economics, Law or related disciplines
• Possession of legal or accountancy professional qualification is preferred
Functional/ Technical Requirements
• Familiar with financial services related laws or regulation and operations
• Analytical minded, responsible, self-motivated, and meticulous
• Strong conceptual, analytical, good interpersonal, written and presentation skills
• Team player and able to work independently
• Good communication and written skills in both English and Chinese
• Proficient in MS Word, including Word, Excel and PowerPoint

Please note that only shortlisted candidates will be notified.

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