VP, Compliance, Private Banking

The Role

General compliance role within private banking division

Key Accountabilities

• Handle licensing and registration related matters for relevant individuals of the bank
• Handle HKMA applications for bank senior management and liaise with the regulator on the process
• Coordinate and assist to handle / respond to regulatory reporting, enquiries, surveys, examinations and ad-hoc projects
• Perform compliance reviews on the activities of the bank ensuring compliance with the relevant rules and regulations
• Provide guidance and advice to business on compliance and regulatory requirements
• Review and enhance the existing policies and procedures to ensure a robust, current and high quality compliance control program for supporting the bank's business growth
• Monitor the complaint handling by the front office and maintain the complaint register
• Prepare internal compliance reports
• Provide support to Head of Compliance in compliance advisory and monitoring of peripheral activities of private banking division, such as trust services and insurance brokerage services 

Skills & Experience

• Degree holder in law, business, finance or related disciplines
• Minimum 8 years experience in banking or financial industry in regulatory compliance advice, preferably with private banking or wealth management
• Experience with regulatory body will be an advantage
• Good knowledge in private banking operations and well versed with contemporary regulatory requirements, particularly Code of Banking Practice, Banking Ordinance, HKMA regulations and guidelines as well as Securities and Futures Ordinance and SFC Code of Conduct
• Self-motivated, independent with strong communication skills
• Professional presentation and report writing skills
• Good command of English and Mandarin including Chinese writing 

Other Information

• Please apply in strict confidence with full resume, academic record, current and expected salaries.
• The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months.
• Candidates with Enhanced Competency Framework (ECF): please state on the CV.

About BOCI

As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCI”), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career for supporting our group.