Regional Head of Compliance – Control Room/Surveillance (Ref# RHC-CRS/DK310812) recruitment
The incumbent will take lead a large team who are responsible for overseeing regional compliance with respect to activities in relation to securities transactions. You will assume a broad oversight for Surveillance activities associated with compliance with bank’s internal policies with respect to employee trading. The role requires you to work closely with regional senior management to strength the oversight of various associated areas of compliance. You will be involved in assessing the effectiveness of established compliance surveillance and work with Global Counterparts to implement targeted enhancements.
To be eligible for this position you must have 10-15 years of financial services industry with preferably 7+ of those years in a compliance, control, internal audit or operational risk management role. You must have understanding of compliance risk management concepts, tools and trends with particular emphasis on regulations those related to the oversight of Employee trading or Control Room activities. You must be able to multi-task and have ability to build rapport with key business partners, interface with businesses and functions across sectors to assist with the implementation of concepts, projects, processes, procedures collaboratively.
If you are interested in this job, please email your resume and your present and expected salary to Devi Kumar, enquiries@charterhouse.com.hk Tel: (852) 3151 1300 Web: www.charterhouse.com.hk