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Specialist, Central / Regulatory Compliance

Employer
DBS Bank (Hong Kong) Limited
Location
Hong Kong, Hong Kong
Salary
Competitive
Closing date
Nov 15, 2022

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Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Business Function

Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders.

Responsibilities
  • Promote bank-wide compliance culture by establishing and implementing compliance policies and procedures to ensure the Bank comply with all relevant laws, regulations and rules in the jurisdictions it operates on an on-going basis.
  • To be the conduit between regulators/ other industry associations and the Bank in dealing with new laws and regulations, consultation papers, regulatory enquiries and requests.
  • To risk rate and broadcast new regulations to relevant BU/ SU on a timely basis and to facilitate DCO in monitoring high risk circulars gap analysis status.
  • Assist Management to ensure compliance with rules and regulations that have bank-wide implication and impact including licensing and personal investments monitoring.
  • Assist the Head of Compliance to compile Compliance Management Report reflecting compliance status to the Board/ Board level committees; and arrange monthly Compliance Discussion Forum to ensure BU/ SUs are kept apprised of regulatory development.
  • Establish and maintain compliance policies and procedures relevant to Hong Kong and to promulgate policies/ standards issued by Group Compliance.
  • Work closely with Group Compliance on management reports, group projects and new/ changes in compliance policies and standards.
  • Arrange induction training with HR and monitoring completion status.
  • Play an active role in overseeing and assisting in bank-wide regulatory examinations.
Requirements
  • A degree in Law, Finance, Accountancy, or related disciplines, or possession of legal or accountancy professional qualifications
  • Minimum 4 - 7 years' relevant experience in:-
    • compliance / legal or audit department of a bank or authorized / licensed financial institution; or
    • a local or overseas banking or relevant financial supervisory body; or
    • a professional legal or audit / accountancy firm with banking or financial services compliance / regulatory advisory experience.
  • Good exposure to dealing with regulatory matters and liaising with regulators.
  • In-depth knowledge of banking and financial sector laws and regulations, compliance best practices and understanding of financial products and operating business.
  • Ability to understand the business, analyze issues and formulate appropriate recommendations.
  • Business focus, innovative and with the ability to balance risk and control.
  • Logical thinking, excellent analytical and problem-solving skills.
  • A key team player with effective interpersonal, communication and presentation skill.
  • Good writing ability.
Apply Now
We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.
We regret only shortlisted candidates will be notified.

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