- Provide compliance support in the areas of investment and insurance under business of various segments such as retail banking, private banking, commercial banking etc.; the support shall also include sale and distribution of treasury products and to promote and effect the bank’s compliance with external rules, regulations, internal policies and procedures in these areas.
- Work with relevant parties to analyse the potential impact of regulatory trends and developments of investment and insurance activities and effect the bank’s compliance with any new regulatory changes and developments.
- Provide compliance advice on licensing and notification matters for CCBA Group in particular of key regulatory positions such as RO, EO appointment and cessation etc.; regulatory exam and survey in relation to Investment and Insurance and such other tasks as assigned from time to time.
- Act as the Compliance Contact for business. It covers all business units and service units as far as they are related to I&I.
- Review customer communication materials and marketing materials on investment and insurance activities under business of retail banking, private banking and treasury business.
- Handle ad hoc projects ad may from to time be assigned by supervisor and provide training to and promote compliance awareness among the associates.
- Liaise with the local regulators to compliance matters and regulatory examinations relating to investment and insurance activities.
- University degree in areas relevant to compliance, such as law or accountancy
- Minimum 3-7 years of relevant experience
- Good knowledge in banking and securities laws, rules and regulations and operations as well as different products and services offered by banks
- Strong analytical, communication and interpersonal skills
- Strong organization skill, business acumen and able to meet tight deadline
Note: Applicants with less experience will be considered as AVP.
Applicants who are not contacted within 8 weeks may consider their applications unsuccessful and their personal data will be retained by the bank for a period up to two years.
All information provided by applicants will be used for recruitment purposes only and will be used strictly in accordance with the bank’s personal data policies, a copy of which will be provided upon request.