AVP/VP, Compliance Review, Legal,Compliance & Secretariat

  • Competitive
  • Hong Kong
  • CDI, Plein-temps
  • DBS Bank (Hong Kong) Limited
  • 11 déc. 17 2017-12-11

AVP/VP, Compliance Review, Legal,Compliance & Secretariat

DBS. Living, Breathing Asia.


DBS is a leading financial services group in Asia, with over 280 branches across 18 markets. Headquartered and listed in Singapore, DBS has a growing presence in the three key Asian axes of growth: Greater China, Southeast Asia and South Asia. The bank's capital position, as well as "AA-" and "Aa1" credit ratings, is among the highest in Asia-Pacific. DBS has been recognised for its leadership in the region, having been named "Asia's Best Bank" by The Banker, a member of the Financial Times group, and "Best Bank in Asia-Pacific" by Global Finance. The bank has also been named "Safest Bank in Asia" by Global Finance for eight consecutive years from 2009 to 2016.

Responsibilities

  • Centralise compliance reviews within one unit in Compliance for the purpose/benefit of benchmarking practices across different BUs and identify specific area/unit of concerns.
  • To implement the compliance review plan according to agreed schedules and to ensure compliance review check steps cover key regulatory requirement;
  • To perform independent reviews/surveillance tasks on both regular and ad-hoc basis and agree the management actions on the observations identified with relevant BU/SUs;
  • To assist regional Compliance Review team in formulating the regional compliance test plans;
  • To assist the Team Lead of Compliance Review to prepare review reports and consolidate findings identified;
  • To track the status of the agreed management actions for compliance testing observations noted and validate the management actions upon completion.
  • To assist Team Lead of Compliance Review to devise annual compliance testing plan.
  • To assist in other compliance projects and duties as may be assigned from time to time.
  • To draft review report and consolidate findings identified in the review report;
  • To provide practical assistance, recommendations to BU/SUs advice and on issues identified during the review;
  • To ensure all findings and deficiencies identified in the review report have be tracked and followed up on until resolved. Further escalation to senior management team may be required if follow up actions had not been completed within the agreed timeline;
  • To keep proper trail of compliance review done, methodology adopted and issue raised.


Requirements

  • At least 6 years' 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 on regulatory dealing is a must. Ability to obtain valuable market practices from peers is a plus.
  • In-depth knowledge of banking and financial sector laws and regulations, compliance best practices and understanding of financial products and operating business, in particular those relating to [Business / Support Unit]
  • Ability to understand the business, analyze issues and formulate appropriate recommendations
  • Ability to develop a rapport with [Business/Support] Unit but maintaining independence.
  • Ability to foster compliance culture, in particular within [Business/Support] Unit and the compliance team
  • Ability to effectively communicate with management and front line staff to drive compliance initiatives and other relevant process changes / projects
  • Ability to develop and coach staff
  • Sound interpersonal and communication skills
  • Good writing ability
  • A degree in Laws, Finance, Accountancy, or related disciplines, or possession of legal or accountancy professional qualifications


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.