Vice President (Compliance Assurance Team), Regulatory Compliance Department

Responsibilities:

• Lead the Compliance Assurance Team in coordinating regulatory on-site/off-site examinations and providing quality compliance advisory services to different business and support units of the Bank
• Formulate and execute compliance assurance projects according to the compliance plan
• Act as the contact point with various regulators to handle requests/enquiries, and submit regular reports
• Coordinate and conduct gap analysis report on regulatory updates to cope with the impacts on the Bank’s operations
• Identify deficiencies in business activities/operations during assurance reviews and make recommendations in improving/reinforcing compliance standards
• Monitor the implementation of rectification actions in response to regulatory examinations and establish appropriate risk-based general compliance review
• Compile compliance review reports and manage the reporting/escalation of key compliance issue to senior management
• Formulate, review and update compliance related policies and manuals
• Cultivate compliance culture and raise compliance awareness within the Bank and provide compliance related training when necessary
• Perform other ad hoc projects or assignments

Requirements:

• University degree in Risk Management, Business Administration, Legal or related discipline
• Holder of ECF professional qualification on Compliance is preferred
• 10 years’ working experience in regulatory compliance / audit / risk management / internal control, preferably gained from banking or financial services industry
• Conversant with banking rules and regulations including Banking Ordinance, Code of Banking Practice and HKMA Supervisory Policy Manual etc.
• Self-initiated and work independently with ability to exercise judgment
• Strong organizational skills and attention to details, with the ability to manage multiple priorities and meet deadlines
• Good team player with strong communication and interpersonal skills, willing to work with different stakeholders at all levels
• Good command of spoken and written English and Chinese, including Mandarin