Assistant Vice President, Control Room – Compliance Group

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • China CITIC Bank International Limited
  • 22 Mar 19

Establish and carry out control room compliance function to ensure the Bank’s adherence to internal compliance control and relevant legal and regulatory requirements.

Key Responsibilities

•Maintain Watch and Restricted Lists


•Monitor trading of the Bank and employees against the Watch and Restricted Lists


•Review and approve wall crossing requests


•Review research publications (if any) to identify potential conflicts of interest


•Provide advice and training to various business units and support units of the Bank relating to Control Room matters and related compliance issues, including Information Barriers, operational and physical separation between public and private functions, applicable rules and regulations, and Bank policies and procedures


•Develop, implement and update Bank policies and procedures relating to Information Barriers


•Review cross-divisional conflicts & Control Room framework


•Pre-approve employee trading and reconciliation of employee trades according to the Bank’s Policies and Procedures, and post-transaction monitoring of employee trading


•Review employee’s outside business interests and external employment for conflict of interest issues


 

Requirements

•Degree holder preferably in Law, Accounting or related disciplines


•Minimum 8 years banking, legal, general audit or compliance experience preferably in a sizable financial institution or regulatory bodies


•Knowledge of relevant regulatory requirements relating to treasury and wealth management business


•Good knowledge in banking laws, operations, products and services


•Self-motivated, independent and able to communicate effectively at all levels


•Good command of written and spoken English and Chinese (including Putonghua)


 

For more details about career opportunities with the Bank, please visit our website http://www.cncbinternational.com/careers/en/index.jsp. Please apply with full resume stating current and expected salaries.

 

Personal data collected will be used for recruitment related purposes only. Applicants not invited for interview within 6 weeks may consider their applications unsuccessful. However, applicants may be considered for other suitable positions within the Group for a period of not more than 2 years. Personal data will be destroyed at any time after 3 months.

 

China CITIC Bank International is committed to being an equal opportunities employer and intends to provide a work environment free of unlawful discrimination or harassment. All employment decisions will be made in a non-discriminatory manner.