Compliance Staff

Purpose
Taking regular compliance job, advice and manage Compliance Mechanism and System under instructions and guideline from Managers.
Main tasks
- Regulatory and Advisory for operation and business of consumer banking, including third party outsourcing activities and data privacy;
- Knowledge of compliance issues relating to marketing/advertisement/PR communication.
- Advisory for any matters on developing new Consumer Banking on compliance laws, rules and standards relating to existing and new products while factoring in the Branch's business practices and operational limitations, educating staff on compliance issues.
- Support the related Consumer banking business in internal regulations establishment and review, ensuring compliance with regulations of law; deal with any complication that arises during such compliance as specified in the Branch's internal regulations.
- Review related SOP for Consumer banking business that involves laws and regulations from compliance perspective.
- Remind relevant departments on regular review of the Branch's internal policies which are required under prevailing regulations on appropriateness of and compliance with the law, and make amendments if needed.
- Follow up any identified compliance deficiencies and, where necessary, write up proposals for amendments.
- Report to senior management and Head Office on any irregularities of violations discovered by its investigations or serious violations against regulations of law and changes in relevant regulations of law.
- Review and assess regulations on tasks and powers of the Compliance Department in order to inform the General Manager of any necessary amendments.
- Report the state of compliance with regulations of law to the General Manager, scheduled or unscheduled; notify the General Manager and related departments of changes in relevant regulations as specified in the Branch's internal regulations.
- Implement others duty being assigned.