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We offer wholesale banking products and services in Hong Kong. To cope with our business growth, we are currently seeking a high caliber professional to join us as Head of Compliance in Hong Kong.
Strategy and Planning
Oversee and manage regulatory compliance risks within CIMB;
Ensure CIMB adheres to relevant legal and regulatory requirements;
Provide advice and guidance on compliance regulations and have regular communication with the Senior Management to ensure that compliance risks are adequately managed;
Enhance compliance awareness within CIMB to ensure the highest possible level of compliance;
Assist Senior Management in educating staff on compliance issues and acting as the main point of contact within CIMB for compliance queries;
Report to Senior Management on a regular basis on compliance matters including compliance risk assessment, any changes in compliance risk profile, identified breaches and/or deficiencies and recommended corrective measures, or corrective measures already taken.
Business Performance and Management
Identify, document and assess compliance risks assocated with CIMB's business activities and future ventures;
Advise Business on establishment and implementation of effective systems, procedures and controls for compliance with requirements and standards under the regulatory system which includes compliance risk management, anti-money laundering and data protection procedures;
Advise Middle Office and Back Office (e.g. Operations, Risk Management, Information Technology, Human Resources, etc.) on regulatory compliance matters;
Ensure CIMB's business dealings are ethically sound.
Ensure that there are sufficient resources to effectively manage compliance risk within CIMB;
Ensure that compliance staff have the necessary qualifications, experience, professional and personal qualities to enable them to carry out their specific duties;
Ensure that compliance staff have a sound understanding of compliance regulations, rules and standards;
Ensure compliance staff's professional skills, especially with respect to being kept abreast of developments in compliance regulations, rules and standards, are maintained through regular and systematic education and training.
Fulfill statuatory responsibilities (e.g. Anti-Money Laundering Officer, Complaints Officer, s.72 Manager reponsible for compliance with laws, regulations or guidelines, FATCA Responsible Officer, etc.)
Maintain sufficiently detailed compliance policies and procedures and ensure the policies and procedures are being enforced to give Senior Management reasonable assurance that the firm complies with all applicable requirements at all times;
Ensure that CIMB complies with internal policies and procedures, and with all applicable regulatory requirements;
Evaluate the efficiency of compliance controls and improve them continuously;
Liaise with and act as the principal point of contact for regulatory authorities;
Monitor and perform sufficient compliance testing;
Develop, oversee and continuously review AML/CTF systems to ensure they remain up-to-date and meet current statutory and regulatory requirements.
Minimum 10 years of compliance experience in sizable financial institutions and/or regulatory bodies;
Well versed in local regulatory requirment and laws (e.g. Banking Ordinance, Securities & Futures Ordinance, Anti-Money Launderig Ordinance, HKMA Supervisory Policy Manuals, SFC Codes and Guidelines, etc.)
Ability to analyse regulations and norms from the firm's perspective depending on its activity, culture and regional financial environment;
Ability to integrate best practices in order to ensure respect for regulations and a firm's values;
Ability to have an excellent and thorough understanding of the business;
Ability to have an understanding of the firm's compliance and technology platforms;
Ability to have a through understanding of the firm's policies and procedures and how they are applied and monitored;
Ability to understand the markets in which the firm operates;