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Leading the way in International Banking. We support the people and companies driving investment, trade and wealth creation across Asia, Africa and the Middle East. And our heritage and values are expressed in our brand promise - here for good. See our Brand and Values
We are looking for a Director, Compliance, Private Banking, Hong Kong.
The primary purpose of this role is to support the Private Bank ("PvB") Hong Kong business by providing advice and guidance to management and staff throughout the business in relation to various legal and regulatory requirements of financial services provision.
To assist in the development of a strong compliance culture in conjunction with the Group ethos of 'good compliance is good business' throughout the business and driving a Here for good culture.
Key Roles & Responsibilities
This is a team head role, reporting directly to Head, Compliance, PvB, GCNA, will lead a team of 2 in providing regulatory compliance advice to the PvB business. The scope of work includes but not limited to material outsourcing assessment, licensing, cross border advisory, liaison for the HKMA / SFC inquires, surveys and self assessment, regulatory examination/investigation, etc.
To advise on the impact and requirements of all relevant legislation, regulations, guidelines, policies and procedures defined by SCB Group or Regulator (adopting the more stringent requirements between the two) and all legal and regulatory bodies in which the business operates by ensuring the appropriate level of awareness and training is achieved within a controlled and well documented operating environment.
Ensuring changes to policies, procedures, laws, regulations and guidelines are suitably assessed and documented then communicated to staff in a timely and effective manner.
Participate in the development, composition, coordination and implementation of compliance training to all staff.
Proactively identify Compliance risks and propose action plans to address such risks to Head, Compliance, PvB, GCNA or PvB management Group as directed;
Proactively engage with the wider PvB Compliance functions within Hong Kong and globally to support a wider compliance culture.
Qualifications & Skills
Solid experience in a compliance role focused on Private Banking or Wealth Management. At least 10 years relevant experience in Compliance / legal (including in the bank or working for regulators)
Legal background beneficial but not essential.
Familiar with the Hong Kong legal and regulatory requirements on banking industry, in particular on private bank.
Excellent written and oral communication skills.
Excellent team player with good inter-personal skills and problem solving skills.
Be able to stand up for what is right even under challenge.
Understanding of both sides of "the Scales" i.e. being a Business Partner and also an Independent Guardian.
A diverse culture We are committed to building a culture that fosters a diverse and inclusive environment that's free from bias, where everyone can realise their full potential and make a positive contribution. This is just one of our values that is expressed in our brand promise - here for good. Apply Now...