Job Gallery Consultancy Limited
Our client, a leading taiwan bank in Hong Kong, is looking for a talent to join them.
Head of Compliance
jobsDB Ref. JHK100003004995988
PRIME POSITION OBJECTIVE:
To assist management to ensure the Bank is in compliance with the statutory provisions, regulatory rules and requirements applicable to the banking or other regulated activities.
DUTIES OF THE POSITION: (list of key tasks to be performed to achieve the prime position objective)
- Lead and manage the Compliance Department.
- Identify and assess compliance risks of the Bank.
- Review and monitor compliance performance of the Bank and provide recommendations for improvement
- Keep abreast with the latest development of the regulatory rules and environment.
- Advise senior management on regulatory rules and standards with which the Bank is required to comply.
- Provide regular reporting to senior management to ensure they are fully informed on the Bank’s compliance status.
- Develop compliance related policies, guidelines and compliance manual to ensure the Bank’s compliance with prevailing regulatory rules and requirements.
- Provide review on compliance related policies and procedures developed by business units to ensure controls are set up to address regulatory requirements.
- Establish compliance programs to set out planned activities and related processes to ensure proper implementation of major compliance projects of the Bank.
- Investigate non-compliance incidents and propose measures to rectify the situation.
- Liaise with regulators in Hong Kong.
- Handle ad hoc projects assigned by the Board / senior management.
- Ensure the Compliance Department to deliver the following:
- Provide compliance advice to business and operation management to assist them in compliance related issues
- Conduct compliance related trainings and guidance to Bank staff to enhance staff knowledge in regulatory requirements and awareness of compliance culture
- University graduate in Accounting or Law, with relevant professional qualification(s)
- At least 15 years’ experience acquired in audit/financial institutions or law firms, with extensive exposure to compliance, audit or risk management
- In-depth knowledge of the local laws and regulations that govern commercial and retail banks, including those related to privacy, BO, SFO and AMLO
- Prior experience in working with local regulators such as HKMA and SFC is an advantage
- Ability to think objectively and exercise good judgment in analyzing regulatory risk and control issues and recommending solutions
- Good analytical, communication and interpersonal skills
- Strong communication skills in English, Cantonese and Mandarin
If you would like to be considered for these career opportunities, please send your updated resume in word format by click “Apply Now” application.
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