Senior Compliance Manager (Ref : 214-003289-DL) recruitment
Key Roles Responsibilities
- Provide advice to Country and Business Heads to ensure that they establish and monitor appropriate arrangements for meeting regulatory obligations and high standards of conduct in their businesses, in accordance with Group compliance standards within Wholesale Banking.
- Design policies and procedures to report, eliminate or minimise the risk of breaches of regulatory requirements and of damage to the Bank's reputation within Wholesale Banking.
- Undertake compliance assurance at appropriate frequencies to assess compliance with regulatory rules, internal compliance standards and Group policies, and co-operating and co-ordinating with Functional Compliance Officers to help obtain full compliance in the businesses and functions within wholesale Banking.
- Manage the provision of compliance training through all available channels including conducting/coordinating formal sessions, training the trainers and promoting computer-based training to enhance the compliance knowledge and awareness of staff in a focused and consistent manner and in accordance with Group standards within Wholesale Banking.
- Ascertain, apply and promote the spread of best practice in compliance matters across the Compliance Network.
- Develop relationships with Compliance Officers in other reputable institutions and understand best market practice.
- Support Head of Wholesale Banking Compliance, Hong Kong to review and seek to enhance the Group’s relationships with its regulators. Develop and maintain regular contact and good working relationships with regulators based upon clear and timely communication and a mutual understanding of both the Group’s and the regulators’ objectives as they affect its business so as to maximise the benefit to the Group flowing from those relationships.
- Provide pro-active and consultative advisory service to management and local staff within Wholesale Banking on regulatory, reputational, ethical and compliance related issues/matters, including providing updates to management and staff on regulatory developments relevant to the Group’s business and monitoring the handling of complaints against the Bank.
- Provide compliance input on the design and restructuring of new products and systems within Wholesale Banking and ensure they confirm to local regulatory requirements and internal compliance and ethical standards.
- Undertake periodic review of Bank’s policies and procedures within Wholesale Banking to spot defects or inadequacies and remedying the same.
- Carry out Compliance Monitoring Review or other reviews and tests to identify the compliance weaknesses for WB.
Qualifications Skills
- Knowledge of applicable laws and regulations and the ability to interpret them and apply them to actual situations.
- Knowledge of the WB Businesses and products
- At least 8-10 years of relevant experience.
Interested parties please send your resume to amy.tang@experis.com.hk. We will treat your resume in strict confidence and only short listed candidates will be notified.
September 15, 2012
• Tags: Debt, Fixed Income careers in the Hong Kong SAR, Senior Compliance Manager (Ref : 214-003289-DL) recruitment • Posted in: Financial