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Manager, Compliance – oversee compliance, regulatory monitoring, and risk assessment for Santander's WFOE in Hong Kong and Mainland China.
Lead compliance initiatives, training, and reporting across Hong Kong and Shanghai teams.
Manager, Compliance
Country: Hong Kong
The role is responsible for overall governance and reporting of compliance matters (including Financial Crime Compliance) in Mainland China (Shanghai) to local/regional management, supervise the handling of general compliance matters, execution of compliance monitoring and controls, provide compliance advice and conduct risk and control assessment of compliance risks for Bank of Shanghai Collaboration activities conducted by Santander Consulting (Beijing) Limited, which is a Wholly Foreign-Owned Enterprise (“WFOE”) of Santander.
At the same time, this role is also part of the Hong Kong Compliance team and has to be responsible for the regulatory compliance tasks /projects assigned for wider Compliance functions to support the Santander Asia branches, mainly Hong Kong.
Key Responsibilities
- Manage the general compliance matters related to WFOE including, among others, daily work contact with relevant supervisory authorities, ensuring communication from the authorities are disseminated to relevant parties timely, and taking reasonable steps to ensure external submission/filing are completed timely and accurate.
- Conduct/supervise the execution of compliance monitoring and controls.
- Coordinate with different departments of the Bank to ensure compliance with requests from relevant authorities, and implementation of new applicable requirements.
- Compile, review and consolidate management reporting to Head Office, local and/or regional management and/or committees/forums.
- Manage the Reputational Risk Assessment (RRA) process and New Product Approval Process.
- Provide compliance advice and monitor the compliance with internal policies/procedures/guidelines.
- Develop and deliver Compliance training, ensure that compliance training is properly included in the Compliance Training Plan and roll out to new joiners and existing employees.
- Coordinate the issuance of compliance guidelines and distribution of key compliance messages to staff.
- Coordinate regional compliance activities as required.
Job Requirements
- University degree / qualifications
- Minimum 10 years of relevant Compliance experience in the banking industry in Mainland China and Hong Kong
- Experience in compliance monitoring, regulatory advisory and regulatory change management
- Ability to interpret regulatory requirements and assess business impacts
- Strong analytical and judgement with the ability to identify problems and seek practical solutions
- Team player with a “can-do” attitude and leadership attributes
- Strong oral and written communication skills in Mandarin and English
- Business travel to Mainland China needed