Head of Legal & Compliance (Bank)
Responsibilities:
- Develop
compliance programs and perform compliance checking;
- Prepare
compliance related policies and procedures manuals whenever necessary; review
and update Legal and Compliance Department’s policies and procedures
periodically (annually or bi-annually) and whenever necessary;
- Review and
give comments on other departments’ policies and procedures manuals to ensure
incorporation of required legal and regulatory requirements;
- Design and
conduct AML, other compliance training and AML monitoring;
- Report to regulators
on Suspicious Transactions;
- Customer
transactions AML surveillance;
- Prepare
and / or coordinate completion and submission of periodic and ad hoc reports
and questionnaires to the regulators and government authorities;
- Liaise
with external lawyers and regulators on compliance issues;
- Assist in
inspection / audits to be conducted by regulators / Group Internal Audit Department
/ external auditors.
Requirements:
- University
graduate (preferably in legal study) with minimum of 10 years legal and
compliance working experience, with 5 years as supervisory level of compliance
department;
- Good
knowledge about laws, regulations, rules, guidelines, industry practices, etc.
applicable to banks, in particular to AML / CFT laws and guidelines;
- Good
compliance / audit experience;
- Good knowledge on financial products and services (e.g. banking, loans, securities, insurance, etc.);
- Good
analytical, presentation and supervisory skills; and
- Strong
written and verbal communication skills.
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