Assistant Vice President, Compliance Officer, Capital Markets

  • Competitive
  • Hong Kong
  • CDI, Plein-temps
  • DBS Bank (Hong Kong) Limited
  • 13 déc. 17 2017-12-13

Assistant Vice President, Compliance Officer, Capital Markets

DBS. Living, Breathing Asia.

DBS is a leading financial services group in Asia, with over 280 branches across 18 markets. Headquartered and listed in Singapore, DBS has a growing presence in the three key Asian axes of growth: Greater China, Southeast Asia and South Asia. The bank's capital position, as well as "AA-" and "Aa1" credit ratings, is among the highest in Asia-Pacific. DBS has been recognised for its leadership in the region, having been named "Asia's Best Bank" by The Banker, a member of the Financial Times group, and "Best Bank in Asia-Pacific" by Global Finance. The bank has also been named "Safest Bank in Asia" by Global Finance for eight consecutive years from 2009 to 2016.



Responsibilities

  • Work closely with Central Compliance to provide timely and practical compliance advice
  • Keep teammates informed of all regulatory updates from regulators e.g. Securities & Futures Commission (SFC), The Stock Exchange of Hong Kong Limited (SEHK), Hong Kong Futures Exchange Limited (HKFE) etc and work closely with Central Compliance to provide practical advice to ensure ongoing compliance
  • Work closely with relevant BUs and other DBS Group compliance teams to establish and implement appropriate compliance policies and procedures
  • Develop and implement compliance monitoring review program covering all key regulatory risks and be able to make constructive suggestions to improve the internal control framework
  • Assess BU's compliance training needs and develop, review and conduct trainings that suit business needs
  • Act as the main conduit/interface and foster good relations between BUs and various regulatory authorities
  • Licensing and coordination and filing of all registrations with regulatory bodies including filing annual returns
  • Internal compliance monitoring: CPT fulfillment, Business Contingency Plan, Operational Risk Management etc
  • Help on various Risk and Operation tasks
Requirements
  • Degree holder in discipline related to Accounting, Finance, Business Administration or Law
  • 5 - 8 years of experience in compliance / legal or audit in Hong Kong financial institutions, SFC licensed corporation preferred; or a local or overseas banking or relevant financial supervisory body; or a professional legal or audit / accountancy firm with banking or financial services compliance / regulatory advisory experience
  • Good exposure on regulatory dealing a must
  • Good team player
  • Have the ability and experience in driving change


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We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.

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