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Job Overview

SVP Central Compliance - Reputable & growing financial services organisation

Location: Hong Kong Salary: $competitive
Type: Start Date:
Posted: 13 days ago Contact: Tara Robinson

Senior level role overseeing a Hong Kong based team with coverage across training, licensing, HKMA exam coordination and regulatory updates.

Responsibilities:

  • Manage the central compliance function and provide leadership to a team of four, to primarily act as the initial contact point with various regulators for routine incoming correspondences and inquiries
  • Work closely with designated business compliance teams and provide consultative and other support services to all business and support units on bank wide  compliance requirements
  • Establish, update and implement bank-wide compliance policies and procedures to ensure the bank is in compliance with all relevant laws, regulations and rules; communicate with and advise all business and support units on compliance and regulatory information initially received
  • Assist the head of compliance in drawing up annual compliance assessment & plan, bank-wide key obligations register, preparing regular compliance reports for management information purpose and active participation in monthly compliance forum
  • Play an active role in overseeing and assisting in regulatory exams; oversee and/or involve in the compliance review programme or monitoring
  • Represent compliance to attend various internal committee meetings; represent the bank to attend external meetings such as HK association of banks 
  • Participate in compliance training on compliance and regulatory matters
  • Act as the main conduit/interface and foster good relations between the group, business and support units.  

Requirement

  • Bachelor Degree in laws, finance, accountancy or possession of legal or accountancy professional qualifications is preferred
  • Minimum 10 years’ of relevant  experience in compliance / legal/ audit department of a bank or authorized / licensed financial institution/ relevant financial supervisory body or professional legal or audit / accountancy firm with banking or financial services compliance / regulatory advisory experience, with a minimum of 5 years’ experience at supervisory level
  • In-depth knowledge of banking, securities and other financial services related laws or regulations
  • Good knowledge of different products and services offered by a bank or financial institution is preferred
  • Business focus, innovative and with the ability to balance risk and control
  • Good leadership and coaching skills
  • Logical thinking, excellent analytical and problem-solving skills
  • A key team player with effective interpersonal, communication and presentation skills