The bank for a changing world

Head of Compliance Beijing


Standard / Permanent



Job function




Job description:

- Provides reasonable assurance towards the Head of Country/CEO, business heads, Head of Compliance China, Bank’s clients, the market, society, Bank's governance bodies (where applicable), and all the regulators, on the compliance of the Bank and its employees’ operations / activities / conduct with applicable laws/regulations/practices and ensures action plans are launched for perceived weaknesses

- Ensures consistency of the Compliance model and policy within the country

- Defines how Compliance rules will be adapted / implemented in coordination with the Compliance Domains and the Business Lines

- Coordinates diffusion of policies and adaptation into operational procedures

- Supervises consistency of implementation

- Supports the effective implementation of Compliance rules

- Supports the effective implementation of Compliance tools & systems (with the support of the Compliance COO office and IT)

- Makes Compliance decisions on issues reported by local teams in his/her scope of responsibility, involving the Compliance Central Domains when relevant

- Exercises decision rights for intermediate level cases

- Provides support and guidance to country teams

- Ensures a healthy interface between the business and the regulatory authorities on his/her country, in coordination with the Compliance Domains

- Establishes close partnership with the business

- Provides strong guidance and advisory for their business development : Provides advisory on the country level, Formal agreement for intermediate level cases on the country

- Aggregates and reports risk on country-specific issues and mitigation plan to the Head of Compliance China and to the Country Executive Committee

- Establishes an appropriate governance to manage risk of non-compliance : leveraging Business Lines COs expertise, Leveraging Domains COs expertise

- Leads, manages and supports Compliance teams in the country

- Identifies required improvements of organization, tools and processes

- Identifies local training needs and monitors the Compliance line training plan for Compliance staff, other functions and the business

- Implements controls, as well as tools & systems

Job requirement:

- Good industry knowledge of financial institutions;

- Thorough knowledge of different bank products;

- Solid accounting, financial, and credit analysis skills;

- Strong analytical and reasoning skill;

- Excellent communication skills in terms of both external marketing and internal coordination;

- Strong command of English and Chinese (Mandarin), both verbal and written;

- Strive to complete the highest quality of work;

- With extensive exposure in China and an understanding of the business environment, regulatory regime and market trends;

- University graduate or above;

- At least 6+ yrs working experience in financial industry combined with a strong sense of accountability and integrity.