Deputy Director / Director of Legal and Compliance

Post date :   28/6/2017

Deputy Director / Director of Legal and Compliance

Our bank client is looking for the talents to join the team for business expansion.


* Monitor Bank compliance with laws, regulations and internal policies;
* Investigate irregularities and non-compliance issues and escalate areas of concern to ensure that findings are recorded and followed up with management so that issues can be rectified;
* Contribute to implement more robust and improved compliance controls within the organization;
* Lead and monitor projects that relate to the Compliance function as new regulations emerge;
* Monitor and signoff on account opening processes and establish client risk profiles;
* Perform AML/CTF screening and due diligence, both for new clients as well as for the existing client base on a recurrent basis;
* Monitor and report on suspicious transactions;
* Review contractual terms with Clients, marketing materials, and others to ensure compliance with regulatory requirements;
* Liaise with regulatory authorities whenever needed for compliance reporting purposes;
* Train employees on current regulations and their impact to the organization;
* Collaborate with other departments to create a Compliance Culture, namely by reporting back to Departments on respective compliance performance;


* Degree holder in Finance or Law;
* 5 years above experience in Banking, finance or consulting industry;
* Fluently in Mandarin, Cantonese and English;
* Independent character and strong personality;
* Strong knowledge of current prudential banking and regulatory environment, namely AML/CFT laws and Guidelines;
* Excellent team player with good inter-personal skills;
* Proficiency in computer skills