Job Description
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.
!ads>
Popular Jobs
-
Job Description Direct a team to generate and manage new IT demands proactively through close relationship with the business. Strategic des...
-
Job description Basic Function: To oversee Morgan Stanley’s engineering maintenance and utilities services in Hong Kong and Australia. ...
-
Job description The main purpose of this role is to provide independent assurance regarding the effectiveness of franchise governance, ri...
-
Job description If you’re looking for a career where you will be respected as an individual and valued for the contributions you make, jo...
-
Job Description Provides direction and specialist knowledge in applying the technology/application to client business. Facilitation of cust...
-
Job Description The APAC director will be responsible for the development, refinement and implementation of the CFA Institute Professional ...
-
Job description POSITION SUMMARY: This is a key Marketing role to create and sustain a dynamic, consistent, multi-channel experience f...
-
Job description • Establish and maintain effective working relations with all Asia regional capital markets and investment banking (“CM/I...
-
Job description Are you ready to take a leading role with one of the world’s most exciting companies? With more than 1 billion users and ...
-
Job Description To render comprehensive financial advice to clients that have been assigned to the Investment Consultant by the RM Represe...
Popular This Week
Hong Kong
Standard Chartered Bank
HSBC
Morgan Stanley
CFA Institute
J.P. Morgan
Apple
Facebook
Bank of America
Paypal
Citi
Google
Microsoft
adidas
Credit Suisse
JP Morgan
Shangri-La Hotels and Resorts
adidas Group
BT Global Services
Cognizant Technology Solutions
Disneyland
Dow Jones
Fossil Group
HP
JPMorgan Chase
LEGO Group
Leo Burnett
Marriott
Montblanc
Nielsen
Oracle
Schneider Electric
Starbucks
Thomson Reuters
Turner Broadcasting System
Verizon
WOOX Innovations
ASSA ABLOY
Adobe
American Express
Artyzen Hospitality Group
AsiaInspection
Aspire
Bank of America Merrill Lynch
Banking Bank of America
BlackRock
Bloomberg LP
CA Technologies
CBRE Asia Pacific
CNN
Calvin Klein
Capgemini
Causeway Bay
Christie's
Computime
Corvil
DBS Bank
DHL
DMS Offshore Investment Services
Ericsson
Flextronics
Gammon Construction
Gap
Gartner Research Gartner
Hitachi Data Systems
Hong Kong Disneyland
Hongkong
Hourglass Cosmetics
Hudson
Intel
Intel Corporation
JP Morgan Chase
Johnson Electric
Kowloon Bay
LeTV
Lenovo
Luxottica Group
MSCI Inc.
Maclaren
Manulife Financial
Markit
Mercer
Metrojet
MoneyGram International
Moody's Corporation
NVIDIA
Nomura
Ogilvy & Mather Advertising
Panasonic Avionics Corporation
Philips Electronics
Prudential
Prudential Hong Kong
Puma
Quary Bay
RBC Investor & Treasury Services
S&P Ratings Services
Salesforce
Shangri-La
Shenzhen
Singapore
Sony Pictures Entertainment
SunGard
Symantec
TMF Group
The Barrel Shack
The Coca-Cola Company
The Economist Intelligence Unit Hong Kong
The Red Flag Group
The Ritz-Carlton Hotel Company
Visa
Waggener Edstrom
Wanchai
Yahoo!