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Head of Regulatory Compliance WPB Investment and Private Banking

3 months ago

Hong Kong, 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.
WPB Regulatory Compliance, Country Regulatory Compliance
WPB Compliance - providing proactive assistance in identifying, assessing and containing Regulatory Compliance Risk; fostering a compliance culture; optimizing relations with regulators; and preserving the Bank's reputation in the marketplace by ensuring that our policies comply with the spirit and letter of the laws and regulations wherever we do business.
We are currently seeking a high caliber professional to join our department as Head of Regulatory Compliance, WPB Investment and Private Banking
Principal responsibilities
  • Provide advisory and supports to business units regarding regulatory compliance issues on retail banking investment and private banking.
  • Lead a team of professions to provide compliance advisory
  • Provide recommendations to ensure that exposure to regulatory risks/issues are managed in a practical and effective manner.
  • Assist the business units in evaluating the risk involved in any new products/ services, new procedures and business development.
  • Participate and assist in regulatory compliance-related digital projects, initiatives and enhancement.
  • Establish, review and update compliance policies and procedures, compliance manuals etc. in accordance with the relevant rules and regulations. To support Head of Regulatory Compliance, WPB and the relevant stakeholders to create an effective Compliance control framework and discharge the Compliance responsibilities as Risk Steward for WPB to ensure compliance with all relevant laws & regulations, internal codes and policies, as well as good conduct and market practices relating to Compliance risks from regulatory perspective.
  • Support the implementation and oversight of the businesses' policy and governance frameworks, procedures, practices and standards to ensure quality, effective risk management and regulatory compliance.
  • Proven regulatory experience and knowledge in various investment products and services including private banking
Requirements
  • University degree or professional qualification in Law / Finance / Accounting / Business is required
  • Seasoned professional with at least 10 years of experience in risk & compliance roles, to include significant retail banking experience especially on investment and private banking compliance.
  • Extensive knowledge of retail banking especially on investment and private banking related regulations and guidance.
  • Significant experience in the financial services industry.
  • Knowledge on cross-border especially with the Mainland
  • Lateral thinker with an ability to interpret and solve complex issues.
  • Proven/Excellent leadership skills/ability.
  • Excellent communicator with strong inter-personal and influencing skills.
  • Ability to lead and drive change, contributing to joining up with the other teams in Risk, Compliance and Business at Country level
  • Experience of dealing with regulatory matters and confident interaction with regulators.
  • Holder of professional qualification on compliance and risk is preferred
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