Compliance Officer (Financial Services)

Job Description:

This includes managing compliance programs, providing guidance to business units, and liaising with regulators.

Key Responsibilities:

• Develop, implement, and maintain compliance policies and procedures in line with regulatory requirements
• Conduct compliance risk assessments, monitoring, and testing to identify and mitigate potential risks
• Advise business units on regulatory changes and assist in interpreting and applying new rules
• Coordinate and respond to audits, regulatory inspections, and inquiries
• Review and approve product documentation, marketing materials, and customer communications for compliance accuracy
• Provide compliance training and awareness programs across business functions
• Maintain and enhance internal controls related to AML/CFT, data privacy, and customer protection
• Prepare regular compliance reports for senior management and regulatory bodies

Requirements:

• Bachelor’s degree in Law, Finance, Business, or a related field; CAMS, ICA, or other compliance certifications preferred
• 3–5 years of experience in compliance role within a retail bank or financial institution
• In-depth knowledge of banking regulations and guidelines issued by [e.g., MAS, HKMA, BNM, depending on location]
• Good understanding of AML/CFT, data protection, consumer banking laws, and conduct risk
• Excellent communication and interpersonal skills to work with business and regulatory stakeholders
• High attention to detail, analytical thinking, and strong ethical judgment

EA Licence No: 23S1615