Assistant Vice President, Compliance Advisory

Assistant Vice President, Compliance Advisory Job Purpose Assist Team Head in providing compliance advisory for the assigned portfolio (PBG/ WBG/ TMG) (“Specific Area”) in relation to licensing, investment, insurance, retail, corporate and Treasury Products to ensure the adherence to internal compliance control and relevant legal and regulatory requirements. Responsibilities Provide compliance advisory support in relation to Investment, insurance, retail, corporate and Treasury Products to all business units and support units of the Bank Provide support to business and / or supporting units in the development, implementation and regular review of policies and procedures for their operations with due regard to all applicable regulatory requirements in the Specific Area Assist Team Head to advise management on compliance issues and potential impact of regulatory trends and developments in designated areas Collaborate with Compliance Assurance and Control Room Compliance team in performing compliance monitoring program on the Bank's various activities in investment compliance if necessary Conduct compliance review on complaint cases and provide necessary advice in the area of designation Undertake investigations into any complaints reported or made by both internal and external customers in the area of designation Review the current compliance controls of the Bank and identify proper actions for improvement if necessary in the area of designation Perform regular tracking on all outstanding regulatory issues or findings yet to be solved or responded Assist Team Head to enforce the General Compliance Manual of the Bank in the Specific Area Liaise with regulators and handle the ad hoc examination, surveys, enquiries Prepare operation manual for the department in the Specific Area Raise and maintain compliance awareness among staff by providing them with relevant information, publications and training on compliance matters Provide coaching and training to junior staff of the team or other compliance teams Take up other assignments from time to time directed by the Team Head or the management of Compliance Department Requirements Degree holder in Law, Accounting or related disciplines. Minimum 8 years banking, legal, general audit or compliance experience preferable in a sizable financial institution and/or regulatory bodies Holder of Associate Compliance Professional (ACOP) Certificate under the HKMA ECF on Compliance is preferred Good knowledge in banking laws, operations, products and services Expertise in compliance regulations and practices and have good understanding on regulators’ expectation Well-versed with the market trend and situation regarding compliance locally and worldwide (as applicable) Good command of written and spoken English and Chinese (including Putonghua) For more details about career opportunities with the Bank, please visit our website Please apply with full resume stating current and expected salaries via Personal data collected will be used for recruitment related purposes only. Applicants not invited for interview within 6 weeks may consider their applications unsuccessful. However, applicants may be considered for other suitable positions within the Group for a period of not more than 2 years. Personal data will be destroyed at any time after 3 months. China CITIC Bank International is committed to being an equal opportunities employer and intends to provide a work environment free of unlawful discrimination or harassment. All employment decisions will be made in a non-discriminatory manner. #J-18808-Ljbffr