Vice President

6 days ago

Hong Kong, Central and Western District, Hong Kong SAR China DBS Bank Full time
Vice President / Assistant Vice President, Business Compliance, Global Financial Markets, Legal, Compliance & Secretariat

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.

Job Objective:

To effectively support the implementation of compliance objectives by relevant Business Units (BUs) through setting / reviewing policies and procedures for adherence to the applicable legal and regulatory requirements and to provide compliance advice to relevant BUs and support units (SUs) in Hong Kong, thereby promoting a strong compliance culture within DBS.

Responsibilities:

  • To assist Head of Global Financial Markets (GFM), Vickers & Research Compliance to: (i) provide professional advice and services to GFM on compliance issues; and (ii) safeguard the Bank from compliance and regulatory risk with regards to the Banks' transactions, practices and business initiatives.
  • To support sales and surveillance related matters and projects.
  • To develop a good understanding and make clear communication of key laws, regulations and compliance requirements applicable to the businesses.
  • To prepare and provide new-hire and regular compliance trainings.
  • To coordinate with Compliance Review team and relevant BUs to conduct risk-based compliance review and surveillance monitoring.
  • To escalate to Head of GFM, Vickers & Research Compliance on major compliance / regulatory issues / violations / complaints.
  • To play an active role in regulatory examinations, investigations and incident reporting.
  • To review customer feedback where applicable.

Requirements:

  • A degree in Law, Finance, Accountancy or related disciplines, or possession of legal or accountancy professional qualifications.
  • At least 6 years (for Assistant Vice President) or 8 years (for Vice President) experience in: (i) compliance / legal or audit department of a bank or authorised / licensed financial institution; or (ii) a local or overseas banking or relevant financial supervisory body; or (iii) 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.
  • 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 GFM, sales and trading.
  • FX, fixed income, equities, OTC derivative products, brokerage, research, trade surveillance knowledge would be a plus.
  • Ability to understand the business, analyse issues and formulate appropriate recommendations.
  • Ability to develop a rapport with GFM but maintaining independence.
  • Sound interpersonal and communication skills.
  • Good 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.

Seniority level

Mid-Senior level

Employment type

Full-time

Job function

Other and General Business

Industries

Banking and Financial Services

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