Senior Officer, Control Room Compliance at CHINA CITIC BANK INTERNATIONAL LTD

Hong Kong, Hong Kong Island, Hong Kong S.A.R. -

Full Time

Start Date

Immediate

Expiry Date

26 Feb, 26

Salary

0.0

Posted On

28 Nov, 25

Experience

0 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance, Audit, Regulations, Conflict Clearance, Training, Monitoring, Reporting, Policy Development, Segregation, Personal Account Dealing, Gift Management, Business Interests, Surveillance, Legal, Governance, Communication

Industry

Banking

Description

Mandatory Reference Checking Scheme (“MRC”) for Hong Kong The Mandatory Reference Checking Scheme is a framework to facilitate Authorized Institutions (“AIs”) to bilaterally obtain reference information during their recruitment process for certain positions, such that misconduct information in an individual’s previous employments can be provided to AIs to inform their employment decisions. For information related to MRC Scheme, “Frequently Asked Questions for In Scope Individuals” is published by HKAB/Industry Guidelines (https://www.hkab.org.hk/en/home) or further information will be available upon request, if it is applicable to the position(s) applied. Country of Location: China Hong Kong Job Responsibilities: • Maintain Restricted List and Insider List • Assist in reviewing and processing of wall crossing and conflict clearance requests • Provide advice and training to various business units and support units of the Bank relating to Control Room matters and related compliance issues, including Information Barriers, operational and physical segregation between public and private functions, applicable rules and regulations, and Bank policies and procedures • Assist in developing, implementing and updating Bank policies and procedures relating to Information Barriers, Insider Information, Conflicts Clearance, and Personal Account Dealing, and Outside Business Interest, and Gifts and Entertainment. • Perform personal account dealing request clearance according to the Bank’s Policy • Maintain and review employee’s outside business interests and external employment for senior management’s approval to avoid conflict of interest issues • Maintain and review gift & entertainment requests to ensure comply with Bank’s policies and procedures • Perform monitoring and surveillance on personal account dealing, gifts and entertainment and outside business interests • Prepare monthly report on personal account dealing and identify any breaches • Perform compliance monitoring / assurance reviews on matters assigned by the supervisor of Compliance Assurance & Governance • Take up other assignments from time to time as directed by the supervisor or the management of the Legal & Compliance Department Requirements: • Degree holder in Law, Accounting or related disciplines preferably • 1 – 2 years’ audit or compliance experience preferable in a sizable financial institution and/or regulatory bodies • Knowledge in compliance regulations and practices and have good understanding on regulators’ expectation • Holder of Associate Compliance Professional (ACOP) Certificate under the HKMA ECF on Compliance is preferred • Good command of written and spoken English and Chinese (including Putonghua) 中信銀行(國際)有限公司中信銀行(國際)有限公司（「信銀國際」）是中信集團境外商業銀行業務主要平台，由中信銀行股份有限公司（「中信銀行」）全資子公司中信國際金融控股有限公司（「中信國金」）持有75% 股份。中信銀行(國際)網絡遍布大中華，包括香港的22家分行及2家商務理財中心，以及北京、上海、深圳及澳門的網點，另外於紐約、洛杉磯及新加坡設有海外分行。自1922年起，中信銀行(國際)與員工、客戶及夥伴一同成長，跨越一個世紀。未來將繼續以「敏捷專業化繁為簡」為願景，堅持「文化為本（Culture）、客戶為尊（Customer）、多方聯動（Collaboration）、科技引領（Cyberspace）」4C核心價值，積極踐行「為客戶謀價值，為員工謀幸福，為股東謀效益，為社會盡責任」的企業使命。有關中信銀行(國際)的進一步資料，請瀏覽www.cncbinternational.com。 China CITIC Bank International Limited China CITIC Bank International Limited ("CNCBI"), a major offshore platform of commercial banking business of the CITIC Group, is 75%-owned by CITIC International Financial Holdings Limited ("CIFH"), which in turn is a wholly-owned subsidiary of China CITIC Bank Corporation Limited ("CNCB"). China CITIC Bank International's footprint in Greater China includes 22 branches and two business banking centres in Hong Kong, as well as presence in Beijing, Shanghai, Shenzhen and Macau, and overseas branches in New York, Los Angeles and Singapore. Across a century, China CITIC Bank International has grown together with its employees, customers and partners since 1922 and will continue to move towards its vision of "Agile. Professional. Simple." in adherence to the 4C (Culture, Customer, Collaboration, Cyberspace) core values while driving actively its missions to "create value for customers, seek happiness for employees, make profit for shareholders, perform responsibility for society". More information about China CITIC Bank International can be found on its website at www.cncbinternational.com.

Responsibilities

The Senior Officer will maintain the Restricted List and Insider List, assist in processing wall crossing and conflict clearance requests, and provide compliance advice and training to various business units. Additionally, the role involves developing and updating Bank policies related to compliance issues and performing monitoring and surveillance on personal account dealings and gifts.