VP, Business Legal & Compliance, Consumer Banking and Private Banking
Core
Establish and implement compliance policies and procedures to ensure Wealth Management business compliance with HK laws and regulations, protecting the bank's reputation and capital.
Role type
VP, Business Legal & Compliance (Wealth Management)
Builds
Compliance framework and internal control systems for Wealth Management business units
Domain
Banking / Wealth Management / Financial Regulation
Required skills
Legal or accountancy professional qualifications, in-depth knowledge of banking and financial sector laws, regulatory risk analysis, policy formulation, regulatory liaison, staff coaching
Preferred skills
Experience in compliance/legal/audit of a bank or financial supervisory body, ability to foster compliance culture, effective communication with management and front-line staff
Technologies
N/A
Responsibilities
Liaise with senior management on major compliance/regulatory issues, ensure bank operations align with regulatory requirements, formulate internal policies and guidelines, communicate compliance matters and assist in setting up internal control systems, review new products/services from a regulatory perspective, act as focal point for regulator interactions, oversee regulatory examinations and investigations
Seniority
VP, strategy & mentorship
