Executive Director / Director, Compliance (UK Office)

Core member in UK Compliance team

Compliance Duties Be the first point of contact with ICE Europe, LME and CME etc. exchanges, ensure all the internal processes fulfill the exchange requirement as clearing member Be the key contact person with HK Headquarter on all Compliance related matters Work with local management team on enquiries from the FCA and/or other EEA regulatory bodies or law enforcement agencies Ensure company’s CDD/KYC reviews and client onboarding processes adhere to internal procedures, group policy and industry best practice Provide advice to the business and senior management for all regulatory matters As the person in charge of implementing effective AML/CTF measures and control Review the company’s policies and procedures for relevant business areas; ensure the practice adherences to the legislation requirements As a consultant on compliance related matters, particularly about daily business development; Carry out any other ad-hoc tasks at the request of the Hong Kong headquarter

Be the first point of contact with ICE Europe, LME and CME etc. exchanges, ensure all the internal processes fulfill the exchange requirement as clearing member

Be the key contact person with HK Headquarter on all Compliance related matters

Work with local management team on enquiries from the FCA and/or other EEA regulatory bodies or law enforcement agencies

Ensure company’s CDD/KYC reviews and client onboarding processes adhere to internal procedures, group policy and industry best practice

Provide advice to the business and senior management for all regulatory matters

As the person in charge of implementing effective AML/CTF measures and control

Review the company’s policies and procedures for relevant business areas; ensure the practice adherences to the legislation requirements

As a consultant on compliance related matters, particularly about daily business development;

Carry out any other ad-hoc tasks at the request of the Hong Kong headquarter

Risk Management Duties Report to the head of the risk management department, responsible for the credit risk, market risk, and operational risk of the UK Global Commodity business. Under the comprehensive risk management framework, monitor the implementation of the first-line risk management work of the business department. Participate in the review of BOCI's various risk management guidelines. Handle inquiries, reports, or on-site inspections from the UK regulatory authorities. Handle various periodic and ad hoc reporting requirements from the headquarters. Assist the UK team with human resources-related matters, including performance management, various approvals, and Other tasks assigned by management.

Report to the head of the risk management department, responsible for the credit risk, market risk, and operational risk of the UK Global Commodity business.

Under the comprehensive risk management framework, monitor the implementation of the first-line risk management work of the business department.

Participate in the review of BOCI's various risk management guidelines.

Handle inquiries, reports, or on-site inspections from the UK regulatory authorities.

Handle various periodic and ad hoc reporting requirements from the headquarters.

Assist the UK team with human resources-related matters, including performance management, various approvals, and

Other tasks assigned by management.

Please apply in strict confidence with full resume, academic record, current and expected salaries.

The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months.

As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCI”), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career in our group.