Team Head, Central Compliance

  • Competitive Package
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Executive Access
  • 14 Aug 18 2018-08-14

One of the major bank in the region is looking for a Team Head, Central Compliance, to be based in Hong Kong.

Job Description

As The Team Head of Central Compliance, you will be leading a team and reporting directly to the Chief Compliance Officer (CCO) with the following responsibilities:

  • Manage the Central Compliance function with a team of professional, predominantly act as the initial point of contact with various regulators for routine incoming correspondences and inquiries
  • Work closely with designated business compliance teams and provide consultative and other support services to all business and support units on bank wide compliance requirements
  • Establish, update and implement bank-wide compliance policies and procedures to ensure the Bank is in compliance with all relevant laws, regulations and rules; communicate with and advise all business and support units on compliance and regulatory information initially received
  • Assist the CCO in reviewing annual compliance assessment & plan, bank-wide Key Obligations Register, preparing regular compliance reports for management information purpose and active participation in monthly compliance forum
  • Play an active role in overseeing and assisting in regulatory exams; oversee and/or involve in the compliance review programme or monitoring

Successful Candidates will have:

  • Bachelor degree in Laws, Finance, Accountancy or possession of legal or accountancy professional qualifications is highly preferred
  • Minimum 8 years’ of relevant  experience in Compliance / legal/ audit department of a bank or authorized / licensed financial institution/ relevant financial supervisory body or professional legal or audit / accountancy firm with banking or financial services compliance / regulatory advisory experience, with a minimum of 5 years experience at supervisory level
  • Comprehensive knowledge of banking, securities and other financial services related laws or regulations
  • Sound knowledge of various products and services offered by a bank or financial institution is preferred
  • Business driven, innovative and the ability to balance risk and control with exceptional analytical skills
  • Excellent leadership skills, effective interpersonal, communication and presentation skills is needed, as the key team player

For more information please contact Maggie Li via +852 2842 7112 or via mli@executiveaccess.com Salaries will be commensurate with the successful candidates experience.