平安银行聘任首席合规官 今年近50家机构已配齐

Core Viewpoint - Financial institutions are accelerating the appointment of Chief Compliance Officers (CCOs) in response to regulatory requirements and to enhance compliance management [1][5]. Group 1: Appointment of Chief Compliance Officers - Ping An Bank has appointed Wu Leiming as Chief Compliance Officer, pending approval from the financial regulatory authority [1]. - Nearly 50 financial institutions have had their CCO appointments approved this year, covering various sectors including banks, insurance, and consumer finance [1][6]. - The regulatory framework established in December 2022 mandates that financial institutions must establish a CCO at their headquarters and, ideally, at provincial or primary branch levels [1]. Group 2: Responsibilities and Structure of CCOs - The CCO is responsible for overseeing compliance management, ensuring the implementation of compliance norms, and reporting to regulatory bodies [1]. - CCOs can be appointed as either dedicated positions or as roles held by existing senior executives, with the latter often seen as a cost-saving measure [4][6]. Group 3: Trends in CCO Appointments - The trend of senior executives, such as Chief Risk Officers, also serving as CCOs is becoming common, with several examples noted in the industry [4]. - The appointment process for CCOs typically favors internal promotions, although external candidates are also considered [6][7]. - The demand for compliance talent is increasing, prompting smaller banks to actively recruit CCOs from the market [7]. Group 4: Recruitment Criteria for CCOs - Recruitment criteria for CCOs are stringent, often requiring extensive experience in finance and compliance, as well as specific educational qualifications [7].