Job ref no.: CT3118690-01#7952

Head of Compliance/Deputy Head of Compliance - Corporate Banking /global markets

Asia Progress Executive Limited

Our client is PRC Corporate Banking. To cope with a rapid expansion, they are now inviting high caliber candidates to apply for the following position:

 

Head of Compliance/Deputy Head of compliance - Corporate Banking /Global Markets 

 

Responsibilities

  • Perform management and relevant business units on compliance issues related to investment products, corporate business, wealth management & private banking
  • Establish compliance programs to ensure operations are in compliance with regulatory requirements
  • Develop, update, review and provide inputs on compliance policies and guidelines
  • Conduct regular compliance reviews and checking on client investment suitability management, staff dealing, individual and corporate licensing, account-opening, etc.
  • Liaise with local regulators such as SFC, HKMA
  • Promote compliance awareness and culture of the bank, by developing and delivering compliance trainings
  • Perform ad-hoc compliance related projects

 

 

Requirements

 

  • Bachelor degree or above in law, finance, accounting or related disciplines
  • Minimum 10 years of compliance experience in banking industry/ corporate banking & Global Markets ( treasury , interest rate ) 
  • Well-versed with rules and regulations related to banking and financial institutions
  • Sound knowledge in regulators’ requirements and regulated activities
  • Team lead and supervisory experince /people management 
  • Good understanding on banking operations and familiar with investment products such as equities, collective investment scheme, derivatives, structured products, etc.
  • Good analytical, interpersonal and communication skills
  • Fluent in Mandarin and English

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More job information
Job ref no. CT3118690-01#7952
Salary
  • N/A
Job Function
Industry
Employment Term
  • Full-time
Experience
  • 10 years - 15 years
Career Level
  • Middle management level
Education
  • Degree