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Deputy Head of Internal Control & Compliance Department
September 5, 2020
Manage and lead a compliance section to ensure its proper discharge of its functions and provide regulatory compliance support across relevant areas of the Bank.
Formulate and implement the Bank's compliance policies and procedures, compliance monitoring program, compliance training programs to ensure the Bank's operations are in compliance with the regulatory requirements.
Coordinate and supervise the provision of compliance advice to all relevant departments to minimize the regulatory compliance risk in its day-to-day operation.
Liaise with regulators to ensure the Bank is abreast of regulatory developments and in compliance of the requirements of the regulators and authorities and industry standards.
Compile, monitor and file regulatory self-assessments and compliance reporting to ensure timely reporting to regulators, senior management and Head Office.
Support the management and lines of business in creating and sustaining an effective compliance culture and advise them on regulatory developments and requirements.
Work experience and Qualifications:
Minimum of 10 years of professional working experience in compliance areas/ banking regulator
Experience advising or working in an in-house compliance function with a focus on General Compliance and Investment & Insurance products.
Exceptional knowledge of all aspects of compliance in financial services and the relevant regulatory requirements in Hong Kong and China.
Experience working in a large commercial bank would be an advantage. Proven track record of excellent communication and business partnership skills with senior and executive management.
Experience working with regulatory authorities would be an advantage but not essential.
Qualifications in law, accounting, finance, commerce/business or related disciplines; CPA or other equivalent qualifications preferred.
Fluent written and spoken in English and Chinese including Putonghua is preferred.
Education - Bachelor Degree or above
Experience - 5 to 8 yeasr of supervisory experience - 10 to 15 years of relevant experience