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.
If you are interested in this role please apply below or contact me for more information.
