CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
About Dah Sing Group The Dah Sing Group is a leading financial services group in Hong Kong offering banking, insurance, financial and other related services through its growing network of over 70 branches in Hong Kong, Macau and Mainland China. Our currency is caring, teamwork and progressiveness. We accept that everyone is unique and different in talent, but alike in the capacity for growth. Our task is to shape a culture that creates a sense of pride in achieving something beyond just a job, and an environment where you can be your true and authentic self, like at home.
Reporting to the Group Head of Compliance, you will manage compliance review team to ensure that both regular and ad-hoc compliance reviews are conducted in a professional, robust and timely manner in accordance with relevant statutory and regulatory requirements. You will assist in providing compliance support to and exercising management oversight of compliance matters on overseas banking subsidiaries of the Group. You will also lead compliance managers in providing compliance advice and support to various compliance projects, compliance self-assessments, regulatory surveys/ reporting to the HKMA, etc.
Develop annual compliance review plan and provide inputs to the Group Head of Compliance in formulating the annual compliance plan, taking into account various factors such as latest regulatory developments, key supervisory focuses, regulatory incidents reported to the regulators, the HKMA's onsite examination reports/ control self-assessments conducted in previous year, etc. to ensure the comprehensiveness, robustness, and practicability of the plan
Lead the compliance review team in conducting regular and ad-hoc compliance reviews on business and supporting units within the Bank, to ensure that an in-depth, comprehensive compliance review can be conducted with high quality outputs produced in accordance with the prescribed timeline
Conduct compliance/ control self-assessment in accordance with regulatory and/ or internal requirements, to ensure that a high quality output can be produced within the specified timeline
Handle regulatory requests/ enquiries raised by the regulators to ensure that they can be dealt with in a professional and timely manner
Supervise compliance managers in discharging his/her job duties to ensure that their outputs/ deliverables are of good quality and can provide practical solutions/ recommendations with value added to the Group
Provide compliance advice to various business and supporting units
Review and comment on policies and procedures from a compliance perspective
Provide relevant compliance trainings to staff members
Maintain a close communication with and monitoring on the compliance functions of overseas banking subsidiaries with a view to facilitating effective compliance support and management oversight, maintain a close collaboration with the compliance functions of overseas banking subsidiaries and prepare to work with them side by side for major regulatory projects/ initiatives
At least 15 years banking compliance / auditing experience in (a) the compliance or audit department of a financial institution or financial regulatory body or (b) a professional audit / accountancy firm with banking or financial services compliance / regulatory advisory experience, 10 years of which should be in a managerial role (candidate with solid work experience in both regulatory body and commercial sector will be preferable)
A degree in accounting / finance / laws / banking / business administration or related discipline
Professional qualification in accounting or finance
In-depth knowledge of banking operations, different banking products and services as well as statutory and regulatory requirements in banking and securities
Good conceptual and analytical ability and presentation skills
Good interpersonal and communication skills
Good English and Chinese writing skills
Ability to work independently and direct team members with confidence to devise solutions to new problems
Multi-tasking, good time management and good leadership skills
Candidate with less experience may be considered for the post of Senior Compliance Manager.
Please note that only shortlisted candidates will be notified.