Director, PvB CFCC Hong Kong
Standard Chartered
Hong Kong, Hong Kong,
3天前

About Standard Chartered

We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.

To us, good performance is about much more than turning a profit. It's about showing how you embody our valued behaviours - do the right thing, better together and never settle - as well as our brand promise, Here for good.

We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation.

This in turn helps us to provide better support to our broad client base. The Role Responsibilities

  • To advise on the impact and requirements of all relevant legislation, regulations, guidelines, policies and procedures defined by SCB Group or Regulator (adopting the more stringent requirements between the two) and all legal and regulatory bodies in which the business operates by ensuring the appropriate level of awareness and training is achieved within a controlled and well documented operating environment.
  • To provide regulatory advisory, includes but not limited to outsourcing activity, licensing, insurance advisory, liaison for the HKMA / SFC inquiries, surveys and self-assessments, regulatory / examination / investigations, operational incident handling, communication surveillance handling, personal account dealing exception, etc.
  • Ensuring changes to policies, procedures, laws, regulations and guidelines are suitably assessed and documented then communicated to staff in a timely and effective manner.
  • Provide advice on Cross Border matters.
  • Participate in the development, composition, coordination and implementation of compliance training to all staff.
  • Promote throughout the business the belief that compliance is a positive and integral component and contributes to the success of the Bank.
  • Promote and review compliance with the Group Code of Conduct. Ascertain, apply and promote across the compliance network best Group practices in the area of compliance.
  • Proactively identify Compliance risks and propose action plans to address such risks to the Head of PvB CFCC GCNA or PvB management Group as directed by the Head of PvB CFCC GCNA.
  • Conduct Compliance investigations if required to do so by the Head of PvB CFCC GCNA.
  • Proactively engage with the wider PvB CFCC function globally to support a wider compliance culture.
  • Our Ideal Candidate

  • Solid experience in a compliance role focused on Private Banking or Wealth Management.
  • Legal or Accountancy qualifications beneficial but not essential.
  • Ideally has experience in Compliance or legal, regulatory liaison, regulatory advisory experience acquired in a bank, leading regulator, or a professional services firm.
  • Excellent written and oral communication skills.
  • Strong negotiations skills.
  • The ability to be able to lead and deliver effective training.
  • Be able to stand up for what is right even under challenge.
  • In depth understanding of PvB Policies and Procedures.
  • In depth understanding of local and international regulation.
  • In depth understanding of the Private Bank organisation, structure, business and their interlinkages.
  • Understanding of both sides of the Scales i.e. being a Business Partner and also an Independent Guardian.
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