Compliance Associate, HK Branch

Assist and support business management in identifying, assessing, measuring and mitigating compliance risks. Assist in providing reasonable assurance that the Bank and its employees comply with applicable laws, regulations, internal rules and ethical standards within the context of corporate governance. Assist in handling regulatory issues related to business partners and ensure appropriate management escalation. Work closely with business partners to broaden their knowledge of industry specific

BBVA - Hong Kong - Full time

Salary: competitive

Key Responsibilities

  • Review KYC documentation on new account opening and perform transactions screening and monitoring in compliance with Group Policy and relevant anti-money laundering requirements.
  • Trades monitoring including staff personal dealings and assist in management of transactional conflicts of interest.
  • Prepare and update policies and procedures in line with Group Policy and with regard to local laws, rules, regulations and guidelines.
  • Assist in providing advice and support to the business units with regard to potential regulatory impacts of relevant laws, rules, regulations and guidelines.
  • Assist in providing relevant trainings to staff on changes and development of laws, rules, regulations and guidelines.
  • Assist in ensuring all relevant staff are properly registered with regulators as appropriate and comply with relevant licensing requirements.
  • Assist in the preparation of regulatory reporting, filings and self-assessments as required.
  • Assist in performing compliance review on business units in accordance with the standards and guidelines contained in the compliance monitoring plan.
  • Assist in any other ad hoc projects.

Qualification & Experience

  • Degree holder in Finance, Accounting or Laws
  • At least 2 years relevant experience in compliance field or audit firms

Knowledge & Skills

  • Knowledge of regulatory and compliance requirements in relation to banking business
  • Knowledge of banking services and products
  • PC literacy (Microsoft Office including word, excel and powerpoint)

Language

• Proficient in written and spoken English

• Proficient in written and spoken Chinese

 

Other Skills (e.g. Interpersonal, Communication etc)

• Good interpersonal and communication skills

• Customer-oriented

• Self-motivated and be a team player

• Ability to work under pressure

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