For Recruiters

Head of Regulatory Compliance

Executive Access
Hong Kong
Posted 1 day ago Permanent Competitive
Our client is seeking for a Head of Regulatory Compliance professional to join their fast growing business.

 

Responsibilities

  • To be the Head of Regulatory Compliance in managing all regulatory compliance issues, providing assurance to CEO and the management that regulatory compliance risks are managed effectively within the bank.
  • To manage the regulatory risks of the Hong Kong Branch.
  • To manage the regulatory relationship with the Hong Kong Monetary Authority (HKMA).
  • To manage regulatory visits by local regulators and those from Head Office including requests for information.
  • To liaise with the regulatory authorities (i.e. HKMA) and auditors (i.e., external and internal) where necessary with regard to various reports, transactional matters and incidents.
  • To handle and advise business and support units to establish appropriate policies, manuals and procedures for their operations
  • To Set up the compliance review program to perform sufficient assurance reviews and detect any regulatory compliance risks
  • To handle and advise on regular submissions or ad-hoc surveys, regulatory information request or enquires, and liaise with regulators and coordinate appropriate responses to their queries

Requirements

  • At least 10+ years relevant/related experience, retail/consumer banking expereince will be a plus.
  • Experienced in advising on Hong Kong regulatory Compliance and interacting with regulatory bodies
  • Familiar with the relevant banking laws
  • Knowledge of fintech, mobile banking, payment systems, and receptive to the use of new technology such as Big Data and AI
  • Willing to work independently and work in ambiguity and fast-changing environment
  • Able to communicate well with all levels of staf
  • Verbal and written English and Chinese are essential

For interested parties, please feel free to contact Maggie Li at mli@executiveaccess.com for a confidential conversation. 

More Jobs From Executive Access
Team Lead - Trade Finance Operations - Fintech
Executive Access
Hong Kong
1 day ago Full time 800k - 1500k
SRM / Team Head - International Bank
Executive Access
Hong Kong
5 days ago Full time Negotiable
Lending Product Lead - Expanding Fintech Firm
Executive Access
Hong Kong
5 days ago Full time Negotiable
Head of Credit Risk - Leading Fintech
Executive Access
Hong Kong
1 day ago Full time Negotiable
Head of Investment Strategy- multi-family office
Executive Access
Hong Kong
3 days ago Full time competitive
Private credit Investment - PE fund
Executive Access
Hong Kong
4 days ago Full time HK$1000k - HK$1500k
Hedge Fund Operations Manager
Executive Access
Hong Kong
5 days ago Full time competitive salary
Legal Counsel / Senior Legal Counsel
Executive Access
Hong Kong
6 days ago Full time 100k
Recommended Jobs