Compliance Advisory - Retail Banking

Job Title: Compliance Advisory - Retail Banking
Contract Type: Permanent
Location: Hong Kong, Hong Kong
Salary: Bonus
Reference: 8561_1550800826
Contact Name: Andrea Mak
Contact Email:
Job Published: February 22, 2019 11:26

Job Description

Our Client is one of the largest retail banking group globally. They are looking to expand the compliance team. He/she will sit in General Banking Advisory team which establishes and carries out compliance function in relation to general banking (i.e. all banking business but exclude investment and treasury products, AML and licensing matters) to ensure the adherence to internal compliance control and relevant legal and regulatory requirements.



  • Manage a team to provide advisory services to business and supporting units in the development, implementation and regular review of policies and procedures for their operations with due regard to all applicable regulatory requirements
  • Keep senior management informed on any relevant regulatory changes on general banking compliance that could bring potential impacts
  • Establish compliance monitoring program on Bank's various activities to ensure they remain up-to-date and effective in meeting statutory and regulatory requirements in general banking area
  • Review the current compliance controls of the Bank and identify proper actions for improvement if necessary
  • Undertake investigations into any suspicious transactions or complaints reported by both internal and external customers
  • Enforce the General Compliance Manual of the Bank and provide advisory and necessary assistance to staff
  • Ensure compliance awareness among staff by providing them with relevant information, publications and training on compliance matters in the Specific Area.
  • Coordinate and manage the ad hoc examination, surveys and enquiries conducted by regulator, external auditor or internal auditor on general banking matters, ensure regular tracking and timely follow up on all outstanding regulatory issues or findings.


  • Degree holder preferably in Law, Accounting or related disciplines
  • Minimum 10 years' experience in legal, general audit, or compliance with at least 3 years in supervisory role gained in sizable financial institution or regulatory bodies
  • Good understanding in banking laws, operations, products and services
  • Familiarity with the ever-expanding regulatory requirements
  • Excellent communication skills with the ability to interact with senior business personnel and stakeholders in other functions
  • Good command of written and spoken English and Chinese (including Putonghua)

Interested candidate please CLICK apply button to apply online or send your resume in MS word format to Hillman Ross Recruitment Solution Professional

For more information please contact Andrea Mak +852 2986 1984

Please note that only shortlisted candidate will be notified. All information will be treated in strict confidence and solely used for recruitment purposes.