Job details
| Location: | Hong Kong S.A.R |
| Job Type: | Permanent |
| Discipline: | |
| Reference: | SVPRCCB/NR100322 |
| Posted: | about 2 years ago |
Job description
Responsibilities:
To provide compliance oversight, challenges and support to those functional units e.g. IT/Operation, HR, Risk and Finance (internal stakeholders).
To provide support to BU and/or SU in the development, implementation and regular review of policies and procedures for their operations with due regard to all applicable regulatory requirements
To provide good quality and timely dissemination of regulatory requirements, guidelines and circulars to BU and SU within the Bank’s regulatory dissemination framework
To maintain internal control systems for meeting regulatory obligations, e.g. Obligation Register to record circular and regulation and to keep track of the status on the due dates of regulatory submission
To be the primary contact with the regulators and be responsible for delivering proactive and consistent management of regulatory expectation and relationships towards the Bank
To supervise and advise on regular submissions/ad-hoc surveys, regulatory information request/enquiries/onsite inspection and liaise with regulators and coordinate appropriate responses to their queries
To maintain effective regulatory engagement and full oversight of regulatory developments
To handle and manage the outsourcing applications or notifications to regulators
To handle and file the incident and breached reports to the regulators according to the regulatory requirements
To advise and/or supervise the subordinates to give advice to BU and SU on data privacy matters
To deliver and facilitate relevant trainings to staff members
To represent Compliance to attend working groups and committees as required
To provide compliance oversight and support to overseas branches
To provide coaching & training to subordinates
To take up other assignments from time to time assigned by the GM & Head of Legal & Compliance
Requirements:
Good knowledge in banking laws, operations, products and services
Expertise in compliance regulations and practices and have good understanding on regulators’ expectation
Well-versed with the market trend and situation regarding compliance locally and worldwide (as applicable)
Degree holder in Law, Accounting or related disciplines
Minimum 12 years legal, general audit or compliance experience including at least 3 years’ management experience in legal / compliance area in a sizable financial institution and/or regulatory bodies.
If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, nestor.roldan@charterhouse.com.hk Web: www.charterhouse.com.hk
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