Deputy Director, Compliance

Responsibilities:
Identification and assessment of compliance risk within a financial institution's activities.
Able to perform appropriate tests/review to evaluate the adequacy of internal controls to manage compliance risk and promptly follow up on any identified deficiencies and plans to address such deficiencies.
Able to prepare reports for management reporting and brief senior management, when needed, on compliance risk issues and findings.
Able to advise on legal and regulatory requirements and their implications for the compliance risk profile and capacity to manage compliance risk going forward.
Able to provide compliance advisory to business units on products and services from product initiation till product launch.
Guidance and Training:
Responsible for ensuring adequate training is provided to officers of the bank on relevant legal and regulatory requirements governing the bank's activities.
Training must be timely and must explain the context of banking operations.
Provide guidance on the implementation of internal controls to manage compliance risk.
Governance:
Responsible for drafting and operationalizing any policy procedures issued by BOC Group and regulators for adoption in the bank.
Able to lead, participate, and manage discussions with business units to implement relevant controls to comply with regulatory requirements.
Dissemination of New Regulation:
Responsible for ensuring timely dissemination of new regulations and follow up on the status of completion with relevant stakeholders.#J-18808-Ljbffr