Head of Compliance

5 days ago

Hong Kong, Central and Western District, Hong Kong SAR China Hang Seng Bank Limited Full time

Job description
A Career with Hang Seng Bank

Hang Seng is committed to service excellence. Our people are our most important asset and play a vital role in our efforts to continually enhance our performance for customers and provide best-in-class products and services. We seek to attract high-calibre talent by offering a dynamic working environment, good career development opportunities and competitive compensation packages.

Hang Seng Investment Management Limited

Established in 1993, Hang Seng Investment Management Limited ("Hang Seng Investment") is a wholly owned subsidiary of Hang Seng Bank Limited, and is Hong Kong No. 1 exchange-traded fund ("ETF") manager in terms of assets under management. As a Hong Kong based asset management company specializing in managing funds related to mainland China and Hong Kong markets, Hang Seng Investment is committed to providing investors with comprehensive investment management services through investment managers with extensive experience in managing funds (including a series of ETFs and retail funds) and investment portfolios for institutional and private clients. As a leading home-grown asset manager in Hong Kong, Hang Seng Investment has over 30 years of asset management experience.

We are seeking a high caliber to join us as Head of Compliance, Hang Seng Investment Management Limited.

Principle Responsibilities

  • A key strategic compliance role that has a broad remit and responsibilities for leading implementation and management with guidance from HSVM CEO/HASE CRCO, of all aspects of Regulatory Compliance and Financial Crime Compliance including impact analysis of regulatory changes, and driving coordination and execution of the various Regulatory Compliance (Business Compliance and Investment Compliance) and Financial Crime Compliance work streams and assurance in HSVM, while ensuring alignment with Global Standards.
  • Strong partnership with the Hang Seng (HASE) RC and FCC business and HSVM leadership team, interfaces with both RC and FCC Risk and, General Compliance, Business as well as Investment Compliance (includes investment and trade surveillance) and has responsibility for driving the implementation of policy arising out of Global Standards Committee. It will monitor and track the progress of various work streams and initiatives underway which fall under the umbrella of Regulatory Compliance Risk, Financial Crime Compliance Risk and Global Standards, provide policy advice related to HSVM products, services and clients, and ensure that the Regulatory Compliance and Financial Crime Compliance functions are resourced adequately to address the risks associated with all global business in HSVM.
  • Stay at the forefront of regional regulatory changes to ensure proactive communication with HSVM business owners and develop appropriate policy and framework to manage the changes in HSVM. It will be the RC and FCC go-to person for both Global Standards and RC and FCC workstream leads to ensure processes are coordinated and implementation risks and issues are considered and addressed.
  • Strong partnership with business to drive and accelerate the execution of Regulatory, Financial Crime and Business Compliance programmes that directly impact HSVM business performance. This role is accountable for the implementation of Regulatory Compliance (Business and Investment Compliance) and Financial Crime Compliance policies into the HSVM business and as such it will require close collaboration with various RC and FCC Risk and Business functions in HASE. The role will be a member and participate actively in the HASE governance committees.
  • The position will be the 'Manager-in-Charge' of HSVM in the Compliance and Anti-money Laundering & Counter Terrorist Financing core functions under the SFC's Manager-in-Charge Regime
Requirements
  • Significant leadership experience and a strategic thinker in asset management business.
  • Excellent communication and inter-personal skills, with experience of dealing with executives at all levels including the capacity to articulate the case for compliance and risk management and policies in the language of business.
  • Ability to develop practical, cost-effective solutions to complex regulatory compliance issues within asset management business.
  • Experience of dealing with regulatory matters and confident interaction with regulators on asset management business.
  • Experience of creating, leading and motivating a team.
  • Experience of interpreting and analysing a large volume of information and / or data and provide succinct summary for senior management. Experience on Investment Compliance (i.e. investment and trade surveillance) is also required.
  • Experience of working within a matrixed environment preferred including reporting internationally.
  • Ability to lead a change in contributing to joining up with the other teams in Compliance, Risk and Business globally.
Visit Hang Seng Career Page and sign up with our Talent Community to receive the latest information about our career opportunities in Hang Seng Hong Kong.
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