Head of Compliance Management and Services

Lead (more than 10 years)

Technical Skills

  • Audit
  • Compliance
  • Customer Service
  • Futures
  • Management Reporting
  • Operational Risk
  • Project Management
  • Risk Assessment
  • Team Management

Job Description

Head of Compliance Management and Services

Head of Compliance Management and Services

Regulatory Compliance

Hang Seng is committed to service excellence. Our people are our most important asset and play a vital role in our efforts to continually enhance our performance for customers and provide best-in-class products and services. We seek to attract high-calibre talent by offering a dynamic working environment, good career development opportunities and competitive compensation packages.

Regulatory Compliance - providing proactive assistance in identifying, assessing and containing Compliance Risk; fostering a compliance culture; optimizing relations with regulators; and preserving the Bank's reputation in the marketplace by ensuring that our policies comply with the spirit and letter of the laws and regulations wherever we do business.

We are currently seeking high caliber professionals to join our department as Head of Compliance Management and Services.

Principal responsibilities:
  • In charge of business management for both financial crime compliance and regulatory compliance, inclusive of overall planning, operations, financial management, people management and administrative functions
  • Oversee control processes and compliance standards with appropriate MIs and reports, monitor the on-going effectiveness of the existing controls
  • Support the senior management in overseeing and managing the Bank's reputational risks by preparing and reviewing policies on reputational risk management, compiling regular management reports and information on reputational risks, and conducting bank-wide self-assessment on reputational risks based on HKMA requirements
  • Take up the Business Risk and Control Management role and responsible for Operational Risk coordination of the Compliance function
  • Supervise the Compliance Monitoring and Testing function in both financial crime compliance and regulatory compliance in conducting/refreshing Compliance Risk Assessment, preparing annual testing plans and monitoring progress of recommended / remedial actions relating to the findings of the Compliance Monitoring and Testing Reviews
  • Supervise staff's adherence to staff dealing rules and policies, advise and provide guidance on matters relating to Group's dealing restrictions and disclosure requirements
  • University degree or other relevant qualifications.
  • Minimum of 10 years' experience in compliance, audit or risk management field in banking and finance industry
  • Proven knowledge of relevant rules, regulations and statutory requirements especially from the Hong Kong Monetary Authority and the Securities and Futures Commission and their impact on the business
  • Strong leadership with good process analysis and problem solving skills
  • Good financial management and project management experience
  • Self-motivated, with excellent communication, interpersonal and analytical skills.
  • Proficiency in English and Chinese
  • Great sense of ownership and servicing mindset to ensure efficient and effective customer service processes
e-mail: [email redacted, apply via Jobable]
Employment TypeFull-time
Career LevelLead (more than 10 years)
Education LevelBachelor
LanguageEnglish, Cantonese
Hang Seng BankFinancial Services, Retail and Commercial Banking

83 Des Voeux Road Central

directions_walk10 mins walk from Central Station