Title:  Deputy General Manager & Head of Compliance

Job Duties & Responsibilities:

The DGM & Head of Compliance role exercises management oversight on the Compliance functions (Compliance Advisory; Regulatory Affairs; Compliance Assurance and AML teams) for Hong Kong Branch to ensure a robust compliance framework is in place so to assist the branch is comply with applicable laws and regulations, codes/guidelines and to mitigate conduct and reputation risk.

• Manage the Compliance Department of the Hong Kong Branch to ensure a robust compliance, AML/CFT and legal framework is in place, including establishment of policies and procedures, conducting self-reviews or monitoring, providing training to the relevant staff members, reporting to Branch GM / Head of LCAPD etc. 
• Ensure timely advice is given to the stakeholders in relation to the relevant laws, rules and regulations in the conduct of business and new products or business initiatives.
• Escalate key compliance and AML/CFT risks to the Branch GM and oversee the implementation of the relevant action plans in conjunction with the Branch Management.
• Receive and follow up on whistleblowing reports.
• Conduct ad hoc review or investigation on matters with potential regulatory implications, misconduct act, etc. in conjunction with the relevant departments and Branch Management.
• Manage and support branch management in inquiries and issues raised by regulatory authorities (including regulatory reporting, responses etc)
• Attend committees and meetings of the Hong Kong Branch as members or upon invitation.HR Initiatives and Projects
• Act as the key representative to lead and coordinate various Global Compliance initiatives or projects, working closely with APD Compliance; HO Compliance and group companies 
• Participate in various ad-hoc projects and perform any other duties as assigned by Head of LCAPD
• Develop a compliance culture and role model as branch management. 
• Obtain relevant licenses/appointments where required (e.g. Section 72b under Banking Ordinance)

Requirements:

• Degree holder in Legal, Finance or Accounting, with at least 15 years of solid experience in Compliance which includes various Compliance areas 
• Proven ability to provide independent analysis and recommendations to senior management and representation of the bank
• Experience in leading a large teams
• Familiar with local laws and regulations relates to Banking practices.  Knowledge of Securities business is a plus. 
• Good business acumen, strong analytical skills 
• Strong leadership, independence and resilience
• Excellent interpersonal and communication skills
• Ability to work independently and autonomously with minimal direction