Team Head, Compliance Testing

3 weeks 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:
  • Design and formulate bank wide annual compliance testing plan with the Head of Compliance with reference to the risk assessment framework adopted by Group Compliance
  • Supervise the timely implementation of compliance testing plan according to agreed schedules
  • Perform thematic testing /surveillance program on both regular and ad-hoc basis
  • Liaise and assist the Group Compliance Testing team for execution of their compliance testing work specific to Hong Kong
  • Discuss, provide valid recommendations and agree the management actions on the observations identified with relevant Business / Support Unit and issue testing reports
  • Ascertain all follow up actions raised during compliance testing are resolved on timely basis
  • Lead the compliance testing team including members of the team who are responsible for complaint investigation related to mis-selling of investment and insurance products. Where necessary, provide recommendations to senior management for enhanced measures on internal control
  • Act as the primary contact point of regulatory bodies on customer complaints
  • Assist in other projects and duties as may be assigned from time to time
Requirements
  • Bachelor's degree or above in Law, Finance, Accountancy or related disciplines, or possession of legal or accountancy professional qualifications
  • At least 8 years' relevant experience in:-
    • compliance / legal or risk department of a bank or authorized / licensed financial institution; or
    • a local or overseas banking or relevant financial supervisory body; or
    • a professional legal or audit / accountancy firm with banking or financial services compliance / regulatory advisory experience
  • Good exposure on regulatory dealing is a must. Ability to obtain valuable market practices from peers is a plus. Presentation to management as required to facilitate the making of informed decision(s)
  • In-depth knowledge of banking and financial sector laws and regulations, compliance best practices and understanding of financial products and operating business, in particular those relating to Business / Support Unit
  • Ability to understand the business, analyze issues and formulate appropriate recommendations
  • Ability to develop a rapport with Business/Support Unit but maintaining independence
  • Ability to foster compliance culture, in particular within Business/Support Unit and the compliance team
  • Ability to effectively communicate with management and front line staff to drive compliance initiatives and other relevant process changes / projects
  • Ability to develop and coach staff as well as foster compliance culture/conduct in the Bank
  • Excellent interpersonal, communicating and writing ability
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.
We regret only shortlisted candidates will be notified.

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