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China CITIC Bank International Limited

Vice President, Compliance Advisory

China CITIC Bank International Limited Hong Kong
Posted 5 days ago Permanent Competitive
Assist Team Head in providing compliance advisory for the assigned portfolio (PBG) (“Specific Area”) in relation to wealth management business to ensure the adherence to internal compliance control and relevant legal and regulatory requirements.

Key Responsibilities

  • Provide compliance advisory support to business and support units of the Bank regarding applicable rules, regulations in wealth management business with special focus on investment products
  • Review new business / product initiatives and provide compliance advices about product due diligence, suitability, licensing requirement, appropriate business model, promotional and marketing materials, digital projects
  • Provide support to business and / or supporting units in the development, implementation and regular review of policies and procedures for their operations with due regard to all applicable regulatory requirements in the Specific Area
  • Assist Team Head to advise management on compliance issues and potential impact of regulatory trends and developments in designated areas
  • Collaborate with Compliance Assurance and Governance team in performing compliance monitoring program on the Bank's various activities in investment compliance if necessary
  • Conduct compliance review on complaint cases and provide necessary advice in the area of designation
  • Review the current compliance controls of the Bank and identify proper actions for improvement if necessary in the area of designation
  • Liaise with regulators and handle ad hoc examination, surveys, enquiries
  • Provide coaching and training to junior staff of the team or other compliance teams

Requirements

  • Degree holder in Law, Accounting or related disciplines
  • Minimum 8 years banking, legal, general audit or compliance experience preferable in a sizable financial institution and/or regulatory bodies, with significant exposure in wealth management, investment compliance
  • Sound knowledge in banking products, regulatory requirements and the market practice especially in wealth management products
  • Expertise in compliance regulations and practices and have good understanding on regulators’ expectation
  • Good command of written and spoken English and Chinese (including Putonghua)
Job ID  116527/NN
ABOUT COMPANY
Hong Kong
Retail Banking
China CITIC Bank International Limited ("CNCBI"), a major offshore platform of commercial banking business of the CITIC Group, is 75%-owned by CITIC I...
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