HEAD OF COMPLIANCE, WHOLESALE BANK
Job Description :
- Establish and implement compliance control measures relating to banking and securities business
- Develop, implement and maintain a range of compliance programmes and activities
- Perform compliance reviews and self-assessments according to internal and regulatory requirements
- Provide compliance advice in respect of existing and new regulatory requirements and assess their potential impact
- Take up ad hoc compliance-related tasks such as new product development
- Act as the Bank’s Anti-Money laundering Officer to oversee the effectiveness of the bank’s anti-money laundering controls
Requirements:
- University graduate in Accounting, Law, Finance, or related discipline
- Minimum 12 years working experience in the Banking, Securities or other financial services sectors with at least 8 years’ experience in the compliance.
- Good knowledge and understanding of HKMA and SFC’s guidelines and regulatory requirements in Hong Kong
- Good knowledge and understanding of businesses in wholesale banking, securities as well as asset management with sound knowledge in related products/services.
- Practical experience in dealing with HKMA and SFC in Hong Kong
- Knowledge of the Banking and Securities laws/regulations in China such as CBRC and CSRC is an advantage
- Proficiency in both spoken and written English and Putonghua
For interest parties, please send e-mail to c.lai@sloaneasia.com and copy to application@sloaneasia.com , attaching your updated C.V. in word format indicating your present and expected salary and quoting Ref: HEAD/COMPLIANCE.
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