Compliance Team Head-Greater Bay Area Corporate Banking Department

Job Responsibilities

1. Promote and monitor the effective implementation of external regulatory rules and the Bank’s internal policies and procedures.
2. Lead a team to finish clients’ CDD and AML risk assessment. Conduct self-checking for the departments’ CDD and AML processes.
3. Carry out compliance risk monitoring of various products, businesses and management activities.
4. Perform gap analysis to fulfill regulatory requirements, formulate and improve the department’s operation manual and CDD procedures.
5. Cooperate with regulatory authorities and the bank to carry out internal and external inspections.
6. Organize and provide training and guidance on CDD and AML risk assessments to the Department.
7. Identify and determine the compliance risk points and compliance risk data indicators of the department. Perform key risk assessment of the department.

Job Requirements

1. University graduate
2. A minimum of 5 years of corporate banking or legal and compliance department experience. At least 3 years of team management experience
3. Familiar with CDD and AML risk assessment procedures of corporate customers
4. Familiar with regulatory requirements including but not limited to the HKMA, SFC and PRC related guidelines
5. A good command of written and spoken English, Cantonese and Mandarin
6. Familiar with Ms Powerpoint, Excel and Word