Sumitomo Mitsui Banking Corporation (三井住友銀行) (incorporated in Japan with limited liability) is one of the major international banks and a leading arranger of specialized financial products worldwide.  The Bank's Hong Kong Branch is now seeking high calibre individuals with long-term career objectives to apply for the following position:

Assistant Vice President

Legal & Compliance Department - Compliance Assurance 

Job Duties & Responsibilities:

• Conduct effective, objective, risk-based compliance monitoring activities pursuant to the annual Compliance Monitoring Plan.

• Identify potential or actual regulatory risks arising from the results of compliance monitoring and proposing recommendations to the relevant stakeholders in order to mitigate the identified risks.

• Conduct compliance review in accordance with the plan, and upon request by the Manager, Local Compliance Officer (“LCO”) or Regional Chief Compliance Officer (“RCCO”).

• Review and assess the adequacy and effectiveness of the Bank’s compliance risk control framework. Identify key deficiencies, assess the implications, and provide recommendations to the relevant stakeholders on mitigating actions.

• Follow up with relevant stakeholders on the implementation of agreed actions after the compliance reviews.

• Upon request, follow up on the management actions arising from Internal Audit reviews or regulatory examinations, where appropriate.

• Prepare regular and ad hoc reports for the Manager and RCCO to review for submission to Branch management, Regional and Head Office.

• Assist in ad hoc compliance related review or investigation / carry out any other duties as instructed by the Manager or the RCCO.

• Escalate key issues, including matters with regulatory concerns to the Manager and the RCCO on a timely basis.

Requirements:

• University graduate, preferably with professional qualifications e.g. CPA

• 8 years’ relevant experience in legal and compliance, operational risk management, risk controls function and/or internal audit, etc.

• Sound knowledge in laws and regulations applicable for banking industry

• Good team player with strong interpersonal skills

• Good command of written and spoken English & Chinese

• Independent, self-motivated and able to work under pressure

• Work Location: Quarry Bay

Contract Officer (12-month)

Operations Department - Treasury Operations 

Job Duties & Responsibilities:

• The incumbent is responsible for processing and checking all clerical works in treasury market transactions and other administrative duties such as credit facility and counterparty ID registration in the operating systems

• Perform routine operational duties including preparing and checking payments, confirming details of trades with counterparties and posting account entries.

• Prepare and check to ensure all securities transactions are in compliance with Head Office and regulatory requirements

• Answer enquiries on treasury products settlement as required

• Handle other ad hoc duties as assigned

Requirements:

• HKDSE Level or above or degree holder with less experience will also be considered

• 4 years’ relevant experience in treasury marketing settlement

• Knowledge of operating RTGS-SWIFTNet and SWIFT Alliance systems

• Good PC knowledge in MS Office application

• Ability to take up multi-tasks and work under pressure

• A team player with good communication and interpersonal skills

• Good command of both English and Chinese

Officer, IT Support

Information Technology Department - Technology & Service Group 

Job Duties & Responsibilities:

• Support and maintain endpoint devices, including physical & virtual desktops, mobile devices

• Provide 2nd tier user support

• Deploy group policies for PC configurations and security hardening

• Develop scripts for automation

• Perform regular security updates such as Windows patch installation, HW firmware updates

• Perform administrative work, IT asset inventory control and prepare reports

• Develop and maintain system documentation

Requirements:

• Degree/Higher Diploma Holder in IT or related discipline

• 2-3 years’ work experience in financial institutions or sizeable firms

• Experience in supporting Virtual Desktop Environment, such as VMWare Horizon, vSphere

• Familiar with Microsoft Windows, Microsoft 365 and common desktop applications

• Familiar with group policies administration, PowerShell scripting

• Customer-orientated, a team player with good communication skill. Proactive, Independent, self-driven and eager to learn

• Good command of written and spoken English and Cantonese