Compliance Manager

Job title: Compliance Manager
Contract type: Permanent
Reference: JW190725-2
Contact details: Justin Wan
Contact email:
Job published: July 29, 2019 14:00

Compliance Manager, Regulatory Compliance (Banking)


We are looking for a Compliance Manager who will work in Regulatory Compliance sector for our client as below.




  • To be a team member of Central Compliance Department

  • To provide advisory support to the retail banking business units and insurance services unit, covering the wealth management and general banking business areas

  • To provide compliance advisory support on new business/ product initiatives and sales incentive schemes of retail banking units

  • To provide compliance advisory support to business units in addressing local regulatory requirements

  • To conduct gap analysis and formalize action plan with business units to ensure the Bank’s compliance with regulatory compliance requirements

  • To assist in reviewing complaints related to investment and insurance products/ services

  • To monitor the implementation progress of agreed actions by business units to ensure timely compliance with the regulatory requirements

  • To plan and work with relevant departments in providing appropriate compliance training to raise staff awareness

  • To take up ad-hoc projects assigned by supervisors/ management from time to time






  • University graduate; or relevant professional qualification such as AHKIB, CPA, etc.

  • A minimum of 5 years’ working experience in financial services industry with compliance/ audit/ risk management experience

  • Good knowledge in requirements from Banking Ordinance, Securities and Futures Ordinance, and regulatory requirements issued by HKMA/IA/ PCPD/SFC

  • Able to exercise judgment, work under pressure and liaise effectively with the internal and external stakeholders is essential

  • Proficient with Microsoft Office suite including Work, Excel and PowerPoint

  • Excellent command of both spoken and written English and Chinese

  • A confident, efficient and effective team player with initiative and able to work independently


Interested candidates, please kindly send your detailed resume including:

1) Current and expected salary

2) Availability

3) Reason for leaving current and past employments

directly to: and

Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you.