Lead, Business Compliance

We are currently looking for a Lead, Business Compliance to join the Bank. You will act as a compliance specialist to advise on client acquisition, client relationships and customer protection on our investment and retail banking products.

  • Advise the designated business and/or support units about all applicable laws and regulations, and assist them to establish appropriate policies, manuals and procedures for their operations with due regard to all applicable Group requirements and regulatory requirements
  • Ensure that products and services offered by the Bank, marketing materials and the relevant operational processes are in compliance with the Group requirements and local regulatory requirement
  • Provide advisory services to VB and/or support units on all relevant compliance issues and to liaise with regulators
  • Review the advertising and marketing materials, new product initiatives, and obtain regulators’ approval as required
  • Handle and advise on regular submissions / ad-hoc surveys, regulatory information request / enquires / inspection, and liaise with regulators and coordinate appropriate responses to their queries
  • Review and advise on customer complaints and liaise with regulators as necessary
  • Ensure prompt escalation of regulatory issues to management
  • Interact with Financial Crime Compliance department on filing of Suspicious Transaction Reports relating to suspected market misconduct activity by Wealth Management and Retail Banking clients
  • Solid experience in retail banking and wealth management/securities business
  • Thorough knowledge of laws and regulations applicable to banks relating to wealth management and retail banking business
  • Effective communications skills (written and spoken)
  • Strong analytical skills
  • Team player, ability to work in a team environment with different cultures
  • Willing to stand and work in ambiguity and fast-changing environment
  • Ability to work under pressure
  • Exemplary integrity, ethics, independence, and resilience