The job holder is responsible to lead Business Compliance Advisory team to establish and carry out compliance function in relation to Corporate Banking and Treasury Business to ensure the adherence to internal compliance control and relevant legal and regulatory requirements.
- Manage a team to provide advisory services to assigned portfolio relating to wholesale banking and treasury markets in the development, implementation and regular review of policies and procedures for their operations with due regard to all applicable regulatory requirements
- Keep senior management informed on any relevant regulatory changes on general banking compliance that could bring potential impacts
- Collaborate with Compliance Assurance & Governance team to establish compliance monitoring program on the Bank’s various activities
- Review the current compliance controls of the Bank and identify proper actions for improvement if necessary
- Undertake investigations into any suspicious transactions or complaints reported by both internal and external customers
- Enforce the General Compliance Manual of the Bank and provide advisory and necessary assistance to staff
- Ensure compliance awareness among staff by providing them with relevant information, publications and training on compliance matters in the assigned portfolios
- Coordinate and manage the ad hoc examination, surveys and enquiries conducted by regulator, external auditor or internal auditor on general banking matters, ensure regular tracking and timely follow up on all outstanding regulatory issues or findings
- Take up other assignments from time to time as directed by the supervisor or the Chief Controls and Compliance Officer
- Provide coaching & training to subordinates as required
- Degree holder preferably in Law, Accounting or related disciplines
- Minimum 12 years’ experience in legal, general audit, or compliance with at least 3 years in supervisory role gained in sizable financial institution or regulatory bodies
- Good understanding in banking laws, operations, products and services
- Familiarity with the ever expanding regulatory requirements
- Excellent communication skills with the ability to interact with senior business personnel and stakeholders in other functions
- Good command of written and spoken English and Chinese (including Putonghua)
For more details about career opportunities with the Bank, please visit our website http://www.cncbinternational.com/careers/en/index.jsp. Please apply with full resume stating current and expected salaries via https://careers.cncbinternational.com.
Personal data collected will be used for recruitment related purposes only. Applicants not invited for interview within 6 weeks may consider their applications unsuccessful. However, applicants may be considered for other suitable positions within the Group for a period of not more than 2 years. Personal data will be destroyed at any time after 3 months.
China CITIC Bank International is committed to being an equal opportunities employer and intends to provide a work environment free of unlawful discrimination or harassment. All employment decisions will be made in a non-discriminatory manner.