Manager / Assistant Manager, Legal & Compliance

Bank of Shanghai Company is a well-established commercial bank in Greater China founded in 1995. The focus of business in Hong Kong is on corporate and investment banking. “With Care, With You” is our service concept. We are committed to providing professional, tailor-made and comprehensive financial services to facilitate enterprises investment, operations and trade across the region.

Job Responsibilities

• Keep track of legal and regulatory updates and notify relevant stakeholders to ensure the Bank meets the relevant requirements.

• Perform research and gap analysis on key legal and regulatory changes.

• Provide advice and recommendations on laws, rules and standards to the relevant stakeholders.

• Take charge of regulatory reporting, handle information requests from regulators, internal or external auditors and Parent Bank, and coordinate with respective business and risk units in responding to such enquiries.

• Assist in developing, reviewing, evaluating and updating the Banks compliance policies, procedures, guidelines and compliance related documents to ensure congruence with its legal and regulatory obligations and the Banks internal requirements.

• Assist in establishing and reviewing compliance monitoring programmes to ensure the Banks compliance with applicable legal and regulatory requirements, and codes of conduct.

• Assist in developing and implementing transaction monitoring and surveillance infrastructure on general banking activities.

• Conduct independent compliance testing, assessments and reviews according to the compliance monitoring programmes to identify, assess and monitor compliance risk and mitigate any conduct and reputational risk issues.

• Analyse areas of non-compliance, investigate suspicious activities, report any possible breaches of laws and regulations, identify actions for improvement and monitor the effectiveness of any remedial actions taken.

• Assist in compiling reports on compliance related matters.

• Prepare training materials on compliance related matters.

• Maintain proper record keeping and provide general administrative support.

• Handle ad hoc tasks/projects assigned from time to time.

• University degree or above preferably in Law, Accounting, Language or related discipline.

• Candidates with 5 or more years general compliance from banking industry is preferred.

• Detail-orientated, responsible and good time management skills.

• Self-motivated, willing to learn and good team player.

• Excellent computer skills, including Microsoft Word, PowerPoint and Excel.

• Good command of spoken and written English and Chinese.

• Holder of ACOP (HKiB) or equivalent qualification would be an advantage.

• Candidates with less experience will be considered as Officer.

We offer successful candidates an attractive remuneration package and the opportunity to work in a dynamic and exciting environment. To apply please send your CV in English and Chinese with salary expectations by clicking “ QUICK APPLY ”.

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Information :

• Company : Bank of Shanghai
• Position : Manager / Assistant Manager, Legal & Compliance
• Location : Central and Western Distr., Hong Kong Island
• Country : HK