Regulatory Compliance Officer

Roles & Responsibilities

Key Responsibilities:

Compliance Operations

• Monitor and track compliance with regulatory requirements, ensuring adherence to applicable banking laws, standards, and best practices.
• Conduct periodic reviews compliance-related processes to identify gaps and recommend corrective actions.
• Maintain up-to-date records of compliance activities, ensuring timely escalation of non-compliance issues.

Regulatory Reporting

• Prepare, review, and submit accurate regulatory reports in a timely manner, ensuring alignment with requirements set by local authorities.
• Liaise with internal stakeholders to ensure data accuracy and completeness for compliance reporting.

Compliance Monitoring Program

• Conduct periodic reviews to identify and mitigate compliance risks.
• Prepare detailed reports on monitoring outcomes and recommend corrective actions.
• Conduct ongoing surveillance and assessments of the bank's activities to identify potential risks or breaches.

Regulatory Liaison

• Support on regulatory liaison matters (e.g.SDIC).

Policy Reviews

• Assist in updating compliance policies and procedures to reflect current regulatory requirements and also Head Office requirements

Others:

• Support other workstreams on operational risk, business continuity management, third party management and ad-hoc duties assigned by the Head of Compliance

Requirement:

• Bachelor’s degree in Finance, Risk Management, Business Administration or related field
• Minimum 3 years’ experience in Auditor Regulatory Compliance
• Proficiency in English and Mandarin (listening, speaking, reading and writing) to liaise with Head Office colleagues and Chinese-speaking stakeholder.

Tell employers what skills you have

Speech
Business Administration
Compliance Procedures
Reading
Regulatory Compliance
Banking Compliance
Compliance Management
Financial Economics
Establish Requirements
Risk Management
Stakeholder Engagement
Reviewing
Regulatory Documentation
Liaising With Internal Stakeholders
Compliance Issues
Finance Industry