Deputy Head of Internal Control & Compliance Department
- Manage and lead a compliance section to ensure its proper discharge of its functions and provide regulatory compliance support across relevant areas of the Bank.
- Formulate and implement the Bank's compliance policies and procedures, compliance monitoring program, compliance training programs to ensure the Bank's operations are in compliance with the regulatory requirements.
- Coordinate and supervise the provision of compliance advice to all relevant departments to minimize the regulatory compliance risk in its day-to-day operation.
- Liaise with regulators to ensure the Bank is abreast of regulatory developments and in compliance of the requirements of the regulators and authorities and industry standards.
- Compile, monitor and file regulatory self-assessments and compliance reporting to ensure timely reporting to regulators, senior management and Head Office.
- Support the management and lines of business in creating and sustaining an effective compliance culture and advise them on regulatory developments and requirements.
Work experience and Qualifications:
- Minimum of 10 years of professional working experience in compliance areas/ banking regulator
- Experience advising or working in an in-house compliance function with a focus on General Compliance and Investment & Insurance products.
- Exceptional knowledge of all aspects of compliance in financial services and the relevant regulatory requirements in Hong Kong and China.
- Experience working in a large commercial bank would be an advantage. Proven track record of excellent communication and business partnership skills with senior and executive management.
- Experience working with regulatory authorities would be an advantage but not essential.
- Qualifications in law, accounting, finance, commerce/business or related disciplines; CPA or other equivalent qualifications preferred.
- Fluent written and spoken in English and Chinese including Putonghua is preferred.
- Bachelor Degree or above
- 5 to 8 yeasr of supervisory experience
- 10 to 15 years of relevant experience