Job ref no.: CT3115487-01#0064
Hang Seng Bank Limited

Head of Regulatory Compliance, Retail Banking and Wealth Management

Hang Seng Bank Limited

Risk and Compliance - Regulatory Compliance

Regulatory Compliance - providing proactive assistance in identifying, assessing and containing Compliance Risk; fostering a compliance culture; optimizing relations with regulators; and preserving the Bank's reputation in the marketplace by ensuring that our policies comply with the spirit and letter of the laws and regulations wherever we do business.

We are currently seeking a high calibre professional to join our department as Head of Regulatory Compliance, Retail Banking and Wealth Management.  S/he will report to Head of Regulatory Compliance, Hang Seng.


Principal responsibilities

  • Provide guidance and  advice for  retail banking,   wealth management  and asset management businesses
  • Provide recommendations to ensure that exposure to regulatory risks/issues are managed in a practical and effective manner, including defining the appropriate resource requirements to address the needs of the businesses
  • Working with the Head of Regulatory Compliance, Hang Seng, and the relevant parties to create an effective Compliance plan to manage the identified risks and develop  solutions for mitigation
  • Review and advise on the rules / regulations / consultation papers issued by regulatory authorities
  • 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



  • Over 15 years of relevant work experience in the areas of regulatory compliance in financial services.
  • A recognised university degree or professional qualification in Law / Finance / Accounting / Business or related disciplines.
  • Sound knowledge of rules, regulations and statutory requirements of Hong Kong Monetary Authority, Securities & Futures Commission and other regulatory bodies.
  • Significant leadership experience and a strategic thinker.
  • Excellent communication and interpersonal skills, with experience of dealing with executives at all levels including the capacity to articulate the case for risk management and policy in the language of business.
  • Experience of dealing with regulatory matters and confident interaction with Regulators.
  • Experience of creating, leading and motivating a team.
  • Experience of interpreting and analysing a large volume of information and / or data and provide succinct summary for management.
  • Experience of working within a matrixed environment preferred
  • Great sense of ownership and servicing mindset to ensure efficient and effective customer service processes


All information provided by applicants will be used only for recruitment purposes and will be used strictly in accordance with the Bank's personal data policies, a copy of which may be obtained by the applicant upon request. Unless otherwise instructed in writing by the applicant concerned, applicants may be considered for other suitable positions within the Bank and its related companies. The personal data of unsuccessful job applicants may be retained for a maximum of two years from the date when the job application is rejected and such data may be retained for a longer period if there is a subsisting reason that obliges the Bank to do so, after which the personal data will be destroyed.

More job information
Job ref no. CT3115487-01#0064
  • N/A
Job Function
Employment Term
  • Permanent
  • Full-time
  • 15 years - 20 years or above
Career Level
  • Senior management level
  • Degree