Job ref no.: CT3114388-01#8349

Head of Compliance- Retail & Private Banking

Robert Walters

A global bank with retail, commercial, global markets and private banking business is looking for a Head of Compliance (Regulatory) for their Retail and Private Banking arm. This is a regional role reporting into the Head of Compliance for the banking group. The role will supervise a team of 10 and lead regulatory compliance for the 2 business lines.

Leading regulatory compliance for the group- you will be fostering a strong compliance culture in the bank, maintain positive relationships with the regulators and ensure that all the banking policies as well as procedures complies with the regulators. Your major responsibilities would include-

Principal responsibilities
  • Providing support and advice to the retail banking as well as private banking business
  • Ensure that the regulatory risks/issues are being managed in the most efficient manner and make sure including defining the appropriate resource requirements to address the needs of the businesses
  • Working with your compliance counterparts to maintain an effective compliance plan to manage compliance risk
  • Assist in fostering the compliance culture of the Bank
  • Lead the implementation and oversight of the businesses’ policy and governance frameworks, procedures, practices and standards to ensure quality, effective risk management and regulatory compliance
  • At least 8 years work experience in regulatory compliance retail banking or private banking and overall minimum 13 years compliance experience
  • Preference will be given to candidates with a legal qualification
  • Good knowledge of the HKMA and SFC rules/regulations
  • Experience in leading large teams in a bank with good leadership skills
  • Excellent communication and interpersonal skills, with experience of dealing with professionals at all level
  • Good communication skills in both English and Chinese
  • Experience in efficiently dealing with the regulatory inquiries and represent the bank in regulatory committees

Get in touch

Reshma Gope

+852 21619414

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More job information
Job ref no. CT3114388-01#8349
  • N/A
Job Function
Employment Term
  • Full-time
  • 8 years - 13 years
Career Level
  • Middle management level
  • N/A