Head of Banking Compliance
China Construction Bank
Hong Kong
1天前

Main Responsibilities

  • Ensure that the Bank is in compliance with external rules and regulations and internal policies and procedures, in the areas of banking compliance other than investment & insurance services.
  • Provide advisory & supports on banking compliance matters other than investment & insurance services.
  • Be the Key Compliance Contact with major stakeholders which covers all business units and service units.
  • Work with the relevant parties to analyze the potential impact of regulatory trends and developments to ensure compliance with any new regulatory changes with respect to matters related to banking.
  • Review customer communication materials / correspondence with regulatory bodies regarding banking compliance.
  • To ensure that all necessary banking compliance, related documentation is properly maintained and updated.
  • Provide training on banking compliance, and promote compliance awareness among the associates.
  • Liaise with the local regulators on compliance matters, including but not limited to onsite / offsite review and progress report, surveys / enquiries from regulators on banking services
  • Supervise the work of the banking compliance. Handle ad-hoc compliance projects upon request from his / her supervisor.
  • Liaise with Head Office Compliance on compliance matters.
  • Requirements

  • Degree holder preferably in Accounting, Law or related disciplines
  • Minimum 10 years' relevant compliance experience in financial institutions
  • Familiar with the banking ordinance and rules, codes and guidelines issues by HKMA
  • Solid experience in corporate and commercial banking compliance and general compliance in banking sector
  • Sound knowledge of the relevant laws and regulators pertinent to bank
  • In-depth understanding of regulatory framework and solid experience in dealings with regulators
  • Strong leadership skills with ability to initiate, drive and manage changes
  • Committed to maintain robust compliance culture and high ethical standards
  • Excellent communication and interpersonal skill
  • Proficiency in both spoken and written English and Chinese (including Putonghua)
  • Applicants who are not contacted within 8 weeks may consider their applications unsuccessful and their personal data will be retained by the bank for a period up to two years.

    All information provided by applicants will be used for recruitment purposes only and will be used strictly in accordance with the bank’s personal data policies, a copy of which will be provided upon request.

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