Consumer Banking Compliance Manager

Job Title: Consumer Banking Compliance Manager
Contract Type: Permanent
Location: Hong Kong
Reference: 02_200918
Contact Name: Gina Hui
Contact Email:
Job Published: September 20, 2018 14:58

Job Description

Our client, a Global Bank in Hong Kong is looking for a seasoned compliance candidate with solid consumer banking compliance experience to be part of their compliance team in Hong Kong.

To work closely with the Trade Surveillance team of Global Markets Team to undertake a second level review of identified irregular trading alerts
To manage periodic reviews of surveillance output to identify potential trading anomalies;
Responsible for conducting investigations into suspected irregularities and presenting findings to all relevant stakeholders
To interact with AML Team on filing of Suspicious Transaction Reports relating to suspected market misconduct activity by clients
To ensure timely and satisfactory resolution of issues identified by the Trade Surveillance team of Global Markets
To handle regulatory information requests under section 181 and 182 of the Securities and Futures Ordinance;
To prepare reports to regulators on suspected market misconduct behaviour in accordance with applicable laws and regulations;
To provide advice on enhancement of trade surveillance / investigation approaches for new detection scenarios as and when required

Experience in the areas of market surveillance or investigation with regulators or in a financial institution;
Good understanding of rules, regulations of Securities and Futures Commission and the Stock Exchange of Hong Kong in relation to the market misconduct regime;
Good analytical skills to handle a large amount of data and BAU regulatory information requests;
A recognised university degree or professional qualification in Law / Finance / Accounting / Business or related disciplines
Effective communications skills (written and spoken)
Fluent in English and Cantonese (Must)

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