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AVP, Central Compliance, Legal, Compliance

2 months ago

Hong Kong, Hong Kong SAR China DBS Bank (Hong Kong) Limited Full time
Business Function
Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders.

Responsibilities
  • To be the conduit between regulators/ other industry associations and the Bank in dealing with new regulations, consultation papers, regulatory inspections, examinations, enquiries and requests
  • To risk rate and broadcast new rules, regulations, guidance to relevant BU/ SU on a timely basis and to facilitate all relevant internal stakeholders including, without limitation, DCOs in monitoring major risk circulars gap analysis status and implementation of new rules, regulations and guidance
  • To assist Management to ensure compliance with rules and regulations that have bank-wide implication and impact including without limitation licensing, outside activities and personal investments monitoring
  • To assist the Team Head of Central Compliance to (i) compile Compliance Management Report reflecting compliance status to all relevant risks/governance and control committees; (ii) arrange monthly Compliance Discussion Forum to ensure BU/ SUs are kept apprised of regulatory development
  • To establish and maintain compliance policies and procedures relevant to Hong Kong and to promulgate policies/standards issued by Group Compliance
  • To work closely with Group Compliance on management reports, group projects and new/changes in compliance policies and standards
  • To arrange induction training with HR and monitoring completion status
  • To play an active role in overseeing and assisting in bank-wide regulatory examinations
  • To provide prompt, practical and consistent data privacy advice, interpretation and recommendation on laws, regulations and policies to the Bank
  • To work closely with BU/ SU and other compliance teams to establish and implement appropriate data privacy policies and procedures, for example data retention schedules
  • To handle data privacy complaints referred by BUs and regulators
  • To assess training needs, develop and review e-learning materials
  • To review and advise on various projects of BU/ SU from data privacy perspective
Relevant Experience
  • A degree in Law, Finance, Accountancy, or related disciplines, or possession of legal or accountancy professional qualifications
  • Minimum 6 years' relevant experience in: 1) compliance / legal or audit department of a bank or authorized / licensed financial institution; or 2) a local or overseas banking or relevant financial supervisory body; or 3) a professional legal or audit / accountancy firm with banking or financial services compliance / regulatory advisory experience
  • Good exposure to dealing with regulatory matters and liaising with regulators
  • In-depth knowledge of banking and financial sector laws and regulations, compliance best practices and understanding of financial products and operating business
  • Ability to understand the business, analyze issues and formulate appropriate recommendations
  • Business focus, innovative and with the ability to balance risk and control
  • Logical thinking, excellent analytical and problem-solving skills
  • A key team player with effective interpersonal, communication and presentation skill
  • Good writing ability in English & Chinese
Apply Now
We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.
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