Assistant Vice President, Investment Compliance (Treasury)

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

Establish and carry out compliance functions other than AML matters (including compliance support in wealth management, investment and treasury products, acting as a primary compliance contact with Treasury & Markets Group (TMG) in providing on-going compliance advisory and support to TMG business and operation, etc.) to ensure the adherence to internal compliance controls and relevant legal and regulatory requirements.

Key Responsibilities
•Provide compliance advisory support in relation to Investment and Treasury Products (the "Specific Area") to TMG and support units of the Bank
•Act as the primary contact with TMG on regulatory and compliance issues
•Assist and handle Control Room Compliance Matters, including but not limited to:
•Maintenance of the Watch and Restricted Lists
•Review and approval of wall crossing requests
•Review of research publications (if any) to identify potential conflicts of interest
•Review of cross-divisional conflicts & Control Room systems, etc.
•Provide support to business and / or supporting units in the development, implementation and regular review of policies and procedures for their operations with due regard to all applicable regulatory requirements in the Specific Area
•Assist Team Head to advise management on compliance issues and potential impact of regulatory trends and developments in the Specific Area
•Undertake investigations into any complaints reported or made by both internal and external customers in the Specific Area

 

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.