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Assume licensing compliance duties at CIB & CB in accordance with regulatory rules and the Bank's internal process. In addition, execute general segment advisory responsibilities for CIB & CB, together with other compliance specialists.
Advise on HKMA and SFC Licensing matters in connection with CIB & CB business. Working closely with Hong Kong Regulatory Compliance, execute licensing and appointment process of Relevant Individuals, Executive Officers, Responsible Officers and s.72B Managers.
Ensure licensees' CPT hours and records are closely tracked and retained.
Liaise with Internal Audit function to ensure that compliance weaknesses identified are tracked and resolved. Perform regular Compliance Monitoring Review or other tests to identify the compliance weakness for CIB & CB. Propose enhancement to the current licensing process to reduce operational errors or increase efficiency.
Liaise with HKMA and SFC relating to licensing topics, prepare regulatory reports and responses, and handle requests and examinations from regulatory authorities.
Handle ad-hoc projects and others tasks as assigned.
Qualifications and Skills
Professional qualification and/or bachelor degrees in business, laws, accountancy, finance, or economics.
Fluent in Chinese and English languages, both oral and written.
Have a good understanding of Hong Kong licensing regulatory regime and processes. Overseas licensing experience (e.g. U.K. and U.S.) is an added advantage.
Positive thinker. Able to work independently and efficiently in a small, dynamic team. Staff supervisory experience is a plus, as s/he may need to supervise 1 to 2 staff members.
A diverse culture We are committed to building a culture that fosters a diverse and inclusive environment that's free from bias, where everyone can realise their full potential and make a positive contribution. This is just one of our values that is expressed in our brand promise - here for good. Apply Now...