- Provide compliance advice for the businesses of the Bank's insurance arm, retail banking and wealth management to ensure full compliance with the relevant regulatory requirements and Group Standards
- Provide recommendations to ensure that exposure to regulatory risks/issues are managed in a practical and effective manner
- Working with the Head of Regulatory Compliance, RBWM & Asset Management and the relevant stakeholders to create an effective Compliance plan to manage the identified risks and develop solutions for mitigation
- Review and advise on the rules / regulations / consultation papers issued by regulatory authorities
- Assist in fostering the compliance culture of the Bank.
- Support the implementation and oversight of the businesses' policy and governance frameworks, procedures, practices and standards to ensure quality, effective risk management and regulatory compliance
- University degree or professional qualification in Law / Finance / Accounting / Business is required
- Seasoned professional with 10 experience in risk & compliance roles, to include significant retail banking experience especially on investment / wealth management including securities brokerage
- Extensive knowledge of investment / wealth management including securities brokerage and guidance.
- Significant experience in the financial services industry.
- Lateral thinker with an ability to interpret and solve complex issues.
- Proven/Excellent leadership skills/ability.
- Excellent communicator with strong inter-personal and influencing skills.
- Ability to lead change, contributing to joining up with the other teams in Risk and Business at Country level
- Experience of dealing with regulatory matters and confident interaction with Regulators.
- Holder of professional qualification on compliance and risk is preferred
- Great sense of ownership and servicing mindset to ensure efficient and effective customer service processes
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Senior Compliance Advisory Manager, Wealth and Personal Banking - Hong Kong, 香港 - Hang Seng Bank Limited
描述
Job descriptionA Career with Hang Seng Bank
Hang Seng is committed to service excellence. Our people are our most important asset and play a vital role in our efforts to continually enhance our performance for customers and provide best-in-class products and services. We seek to attract high-calibre talent by offering a dynamic working environment, good career development opportunities and competitive compensation packages.
Risk and Compliance
Hang Seng's Risk and Compliance ("RKM") strives to maintain a well-balanced risk profile for the Bank while enabling businesses to thrive. Our team actively manages a varied and dynamic range of risk types. We are dedicated to collaborate with businesses, other functional units and regulatory bodies to develop and implement robust and customized risk management frameworks and measures to maintain the strong market position of the Bank.
We are currently seeking high caliber professionals to join our department as Senior Compliance Advisory Manager, Wealth and Personal Banking.
Principal responsibilities
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