Compliance Testing Team Lead

3 weeks ago

Hong Kong, Central and Western District, Hong Kong SAR China DBS Bank (Hong Kong) Limited Full time
Job Summary

As a key member of the Group Legal, Compliance & Secretariat team, you will play a critical role in ensuring the bank's interests are protected by zealously guarding and enhancing its reputation and capital. You will work closely with the Head of Compliance to design and formulate a bank-wide annual compliance testing plan, supervise the timely implementation of the plan, and perform thematic testing/surveillance programs on a regular and ad-hoc basis. You will also liaise with the Group Compliance Testing team to execute their compliance testing work specific to Hong Kong and discuss management actions on observations identified with relevant Business/Support Unit.

Key Responsibilities
  • Design and formulate a bank-wide annual compliance testing plan with the Head of Compliance, referencing the risk assessment framework adopted by Group Compliance.
  • Supervise the timely implementation of the compliance testing plan according to agreed schedules.
  • Perform thematic testing/surveillance programs on both regular and ad-hoc bases.
  • 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 management actions on observations identified with relevant Business/Support Unit and issue testing reports.
  • Ascertain all follow-up actions raised during compliance testing are resolved on a timely basis.
  • Lead the compliance testing team, including members responsible for complaint investigation related to mis-selling of investment and insurance products, and provide recommendations to senior management for enhanced measures on internal control.
  • Act as the primary contact point for 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, 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.
  • 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.

What We Offer
We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognizes your achievements.

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