DBS. Living, Breathing Asia.


DBS is a leading financial services group in Asia, with over 280 branches across 18 markets. Headquartered and listed in Singapore, DBS has a growing presence in the three key Asian axes of growth: Greater China, Southeast Asia and South Asia. The bank's capital position, as well as "AA-" and "Aa1" credit ratings, is among the highest in Asia-Pacific. DBS has been recognised for its leadership in the region, having been named “Asia’s Best Bank” by The Banker, a member of the Financial Times group, and “Best Bank in Asia-Pacific” by Global Finance. The bank has also been named “Safest Bank in Asia” by Global Finance for seven consecutive years from 2009 to 2015.

Step up to the future of banking at  dbs.com/careers

Vice President, Compliance (DBS Vickers) - 1600027Z

DBS. Living, Breathing Asia.
DBS is a leading financial services group in Asia, with over 280 branches across 18 markets. Headquartered and listed in Singapore, DBS has a growing presence in the three key Asian axes of growth: Greater China, Southeast Asia and South Asia. The bank's capital position, as well as "AA-" and "Aa1" credit ratings, is among the highest in Asia-Pacific. DBS has been recognised for its leadership in the region, having been named “Asia’s Best Bank” by The Banker, a member of the Financial Times group, and “Best Bank in Asia-Pacific” by Global Finance. The bank has also been named “Safest Bank in Asia” by Global Finance for seven consecutive years from 2009 to 2015.

Responsibilities
* Lead the DBS Vickers Compliance Team and provide timely and practical compliance advice to DBS Vickers and DBS Group Companies in Hong Kong with brokerage and research operations
* Keep Business Units (BUs) informed of all regulatory updates from regulators e.g. Securities & Futures Commission (SFC), The Stock Exchange of Hong Kong Limited (SEHK), Hong Kong Futures Exchange Limited (HKFE) etc and provide practical advice to ensure ongoing compliance
* Work closely with relevant BUs and other DBS Group compliance teams to establish and implement appropriate compliance policies and procedures for the brokerage and research operations
* Develop and implement compliance monitoring review program covering all key regulatory risks and be able to make constructive suggestions to improve the internal control framework of the brokerage and research operations
* Ensure regulatory requests including but not limited to customer complaints, regulatory enquiries, examination and other ad hoc information requests are properly and timely handled
* Assess BU’s compliance training needs and develop, review and conduct trainings that suit business needs
* Act as the main conduit/interface and foster good relations between BUs and various regulatory authorities

Requirements
* Degree holder in discipline related to Accounting, Finance, Business Administration or Law
* Minimum 10 years of experience in compliance / legal or audit in Hong Kong financial institutions, SFC licensed corporation preferred; or a local or overseas banking or relevant financial supervisory body; or a professional legal or audit / accountancy firm with banking or financial services compliance / regulatory advisory experience.
* Good exposure on regulatory dealing a must.
* Good team player
* Have the ability and experience in driving changes.

Apply Now
We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.

We regret only shortlisted candidates will be notified.

Apply Now

We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.

Apply online at www.dbs.com/careers

We regret only shortlisted candidates will be notified.

Personal data provided will be used for recruitment and related purposes, strictly in accordance with our Personal Data Policy for Applicants for Employment, a copy of which is available on request. Applicants who are not contacted within 6 weeks may consider your applications unsuccessful. However, you may be considered for other suitable positions within DBS and its related companies over a 2-year period, after which your personal data will be destroyed.