Hong Kong Job Openings

Barclays

Head of Greater China Compliance

FULL TIME

September 19, 2024

Overall purpose of role

As the Head of Greater China Compliance, this role will report to the Head of APAC Compliance and join the Hong Kong General Management Team and APAC Compliance Management Team.
This is a Hong Kong regulated role under Hong Kong Monetary Authority (HKMA) and Securities and Futures Commissions (SFC).
The role holder has regulatory oversight responsibility of Hong Kong Compliance overall; therefore collaboration and oversight of Hong Kong Compliance is an important aspect of this role.
In addition, this role also manages the China and Taiwan Compliance teams and acts as the Compliance representative for Greater China Compliance.

Key Accountabilities:

Manages the Hong Kong, China and Taiwan Country/ Regulatory Compliance teams and acts as the Compliance representative for Greater China Compliance.
Oversees all Hong Kong Compliance teams from a local oversight perspective, including Hong Kong Markets and Private Side Compliance.
Maintains all reasonable steps as per the requirements of the regulated role, under the Manager-In-Charge, Section72B Bank Manager and Identified management principally responsible for business/ function constituting Regulated Activities of the Compliance function, with regulatory oversight responsibility on Hong Kong Compliance overall.
Being an active member of the Hong Kong General Management Team and APAC Compliance Management Team
Support Executives and Businesses across Hong Kong, Taiwan and China by providing effective check and challenge, in managing Compliance risks within appetite.
Represents the Compliance function in Hong Kong/ Greater China governance and Board meetings.
Manage Hong Kong, Taiwan and China regulatory and law enforcement relationships. Oversees regulatory Compliance coverage e.g., local regulatory advice, regulatory changes monitoring, regulatory submissions, local Compliance reviews, entity and individual authorization's, outsourcing review etc.
Support global, regional and local Compliance initiatives.
Ensure that jurisdiction specific Compliance regulatory requirements over and above Barclays Policies and Standards are identified, documented and applied.
Work with other Risk disciplines, Internal Audit and Compliance Assurance to identify and evaluate the effectiveness of controls owned and/or impacting Greater China entities.

Purpose of the role
To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with Barclays legal, regulatory and ethical responsibilities.

Accountabilities

Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to.
Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.
Conduct investigation of compliance risk events or breaches. Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences.
Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements.
Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.
Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.

Director Expectations

Provide expert advice to senior functional management and committees to influence decisions made outside of own function, offering significant input to function wide strategic initiatives.
Manage, coordinate and enable resourcing, budgeting and policy creation for a significant sub-function.
Escalates breaches of policies / procedure appropriately.
Foster and guide compliance, ensure regulations are observed that relevant processes in place to facilitate adherence.
Focus on the external environment, regulators, or advocacy groups to both monitor and influence on behalf of Barclays, when appropriate.
Demonstrate extensive knowledge of how the function integrates with the business division / Group to achieve the overall business objectives.
Maintain broad and comprehensive knowledge of industry theories and practices within own discipline alongside up-to-date relevant sector / functional knowledge, and insight into external market developments / initiatives.
Use interpretative thinking and advanced analytical skills to solve problems and design solutions in often complex/ sensitive situations.
Exercise management authority to make significant decisions and certain strategic decisions or recommendations within own area.
Negotiate with and influence stakeholders at a senior level both internally and externally.
Act as principal contact point for key clients and counterparts in other functions/ businesses divisions.
Mandated as a spokesperson for the function and business division.

All Senior Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L – Listen and be authentic, E – Energise and inspire, A – Align across the enterprise, D – Develop others.

All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship – our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset – to Empower, Challenge and Drive – the operating manual for how we behave.

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