Compliance Officer - Regulatory & Policies, Hong Kong

Tasks

• Provision of compliance consulting and monitoring services for BJBHK:
• Compliance monitoring tasks, including, but not limited to, employee monitoring; gifts and hospitality received or offered by employees; reviewing employee activity levels, engagement, and interactions with clients; and client review meetings
• Reviewing the eligibility of seminars, training sessions, and courses—as well as related reports—for continuing professional development (CPD) that employees attend, and conducting training sessions for employees as needed
• Review of all CPD entries based on the internal calendar
• Ensure accurate and timely reporting of events related to new hires, departures, and/or role changes in the internal calendar, and conduct new hire training as needed
• Compliance and Cross-Border Flow of Personal Data (including, but not limited to, support for transfers under the BCP)
• Processing the inquiries received from the director
• Handling other ad hoc compliance-related inquiries, as needed
• Role as coordinator for the Business Continuity Process ("BCP") on behalf of Compliance
• Coordination of Compliance HK's Management Information Reports

Requirements

• College degree, preferably in law, finance, accounting, or business
• At least 3 years of professional experience and/or experience in the financial services sector, preferably in the area of compliance in private banking in Hong Kong
• Certified Compliance Professional – General Compliance Stream Preferred
• Attention to detail
• Team Orientation
• A strong sense of responsibility and impeccable integrity