Assistant Vice President, Compliance Monitoring

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • China CITIC Bank International Limited
  • 12 Nov 18

Establish and carry out compliance monitoring function in relation to licensing, investment, insurance, treasury and banking products (i.e. all areas other than AML-related monitoring) to ensure the adherence to internal compliance control and relevant legal and regulatory requirements.

Key Responsibilities

•Develop and perform compliance monitoring program on the Bank’s various activities


•Review the current compliance controls of the Bank and identify proper actions for improvement if necessary


•Review the Management Information System reports from compliance perspective and identify any significant compliance issues from the reports for further actions


•Conduct compliance review on any complaints and provide necessary advice


•Undertake investigations into any complaints reported or made by both internal and external customers


•Liaise with regulators and handle the ad hoc examination, surveys, enquiries raised by them from time to time


•Prepare and deliver compliance related training to foster the compliance culture of the Bank


•Raise and maintain compliance awareness among staff by providing them with relevant information, publications and training on compliance matters


 

Requirements

•Degree holder preferably in Law, Accounting or related disciplines


•Minimum 8 years banking, legal, general audit or compliance experience with at least 3 years in managerial level, preferably in a sizable financial institution or regulatory bodies


•Good knowledge in banking laws, operations, products and services


•Possess a good knowledge of relevant regulatory requirements relating to the compliance monitoring handled


•Self-motivated, independent and able to communicate effectively at all levels


•Good command of written and spoken English and Chinese (including Putonghua)