We are currently seeking a high caliber professional to join our team as Director Regulatory Compliance Global Private Banking Hong Kong.
Principal responsibilities
Support the Regional Head of Compliance and the management in their responsibility for complying with all relevant regulations, including the provision of advice on compliance issues.
Monitor & review business practices and products to ensure that relevant regulatory requirements are followed and compliance procedures and controls are adequate.
This includes reviews on new products, their related procedures & marketing materials.
Assist in the establishment and implementation of compliance procedures in accordance with the group policy, covering any new and change of laws and regulations affecting the business.
Monitor adherence to compliance procedures and controls.
Liaise with business and participate in new service and initiative projects to ensure the relevant compliance requirements are properly followed.
Provide training in relation to compliance and regulatory requirements to business.
Handle inquiries including complaint handling from and foster good relationship with relevant regulators.
Handle various reporting to Group on a regular basis.
Conduct compliance reviews and ad hoc projects.
Provide guidance to team members on various compliance issues.
Maintain HSBC internal control standards, implement and observe Group Compliance Policy and maintain awareness of operational risk and minimize the likelihood of it occurring.
Be aware of the Operational Risk scenario associated with the role and acts in a manner that takes account of operational risk considerations.
Provide leadership and management of the compliance team
Assist in the resolution of any Compliance issues and problems.
Requirements
Law or Business or Accountancy degree with solid experience in a retail banking or private banking environment or regulatory bodies having direct involvement in control aspects of regulatory and product development.
Familiarity with Hong Kong Monetary Authority or Securities and Futures Commission regulations required.
Demonstrates a mature and confident approach with good communication skills and attention to detail.
The role will require a decisive approach, with good information gathering skills and an ability to work on own initiative.
Strong management, communications, analytical, interpersonal and organisational skills.
Broad scope of knowledge of the business, including products, operations, systems and organisation.
Detail-oriented and highly motivated.
Pass it on for Referral Bonus. Not the right role for you, but know someone we should meet? Share with him to earn $1,000 referral bonus.
