Position Summary
To control and monitor the compliance related matters of wholesale banking for complying with the regulatory requirements and internal risk management framework.
Responsibilities
- Assist supervisor(s) to develop, enhance and implement control measures to rectify issues/ exceptions as identified by internal stakeholders and external auditors and regulators
- Conduct gap analysis on business processes and liaise with stakeholders to implement enhancement measures
- Participate in projects triggered by business or regulatory requirements
- Coordinate review/self-assessment by internal stakeholders, external auditors and regulators & assist in developing enhanced control measures to rectify those identified issues/exceptions
- Compile management reports on compliance related areas
- Perform ad hoc support and other duties as assigned
Requirements
- University degree, preferably major in business, finance or a related discipline
- At least 3 years’ experience in wholesale banking with knowledge on business control or compliance function
- Good understanding of relevant policies, procedures, practices and rules issued by HKMA, SFC, IA and other regulatory bodies
- Good understanding of corporate loan, trade finance, treasury and/or investment & insurance products
- Detail-minded, strong analytical and problem solving skills
- Holder of AAMLP/ CAMLP/ ACOP/ CCOP professional qualification(s) is preferred
- Good command of both spoken and written English and Chinese, fluent in Putonghua is preferable
(Candidate with more experience may be considered for Senior Compliance Manager)
Personal data provided by job applicants will be used for recruitment purposes only and will be treated in accordance with the Bank's Personal Information Collection (Employees) Statement and Privacy Policy Statement. Applicants who are not invited for interviews within six weeks may consider their applications unsuccessful and the personal data collected will be destroyed after 1 year.