Manager, Business Compliance and Operation Risks Manager

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Job No.: 499151
Employment Type: Full time
Departments: Private Banking
Job Functions: Quality Assurance, Risk Management

Responsibilities

• Act as first line of defense to review and advise business on control matters, conduct transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible compliance/operational risks/breaches, prepare management report(s) and provide recommendations to mitigate relevant risks
• Assess product due diligence request raised by business
• Coordinate BCP; perform UAT for system changes
• Implement and review the risk control mechanisms (e.g KRIs) and risk monitoring requirements on the private banking business
• Work on regulatory survey(s); conduct annual risk and control assessment to ensure relevant risks are identified with proper control being laid down
• Review policies & procedures, risk assessment materials submitted by various units and to analyze the compliance/operation risks in new businesses / products / systems
• Conduct trade surveillance, daily report monitoring and other regular transaction and work flow monitoring to identify possible compliance/operational risks and provide recommendations to enhance control weaknesses
• Perform self-assessment, gap analysis against internal and/or regulatory requirements
• Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business
• Investigate operational risk incidents, recommend appropriate enhancement and monitor implementation status of action plan(s)
• Perform regular and ad hoc monitoring / self-assessment on relevant business activities and prepare management reports on compliance and operation risk related review results
• Coordinate internal / external review or audit
• Provide staff training where required
• Assist on other ad hoc tasks as assigned
  

Requirements

• Degree or above
• At least 5 years banking experience, with Operational Risk Management experience in banking sector. With relevant private banking background is an advantage.
• Good analytical, time management and interpersonal skills, with ability to prioritize tasks.
• Proficient in written, spoken English and Chinese
• Familiar with HKMA / SFC regulatory requirements

We offer competitive remuneration package and comprehensive fringe benefits including medical and life insurance, and different types of allowances to the right candidate. Interested parties, please submit your application online. For details, please visit our website

To apply: 

Data collected would be used for recruitment purposes only. It might also be disclosed to our subsidiaries or Associated Companies to process the information for appointment. Applicants who do not hear from us within 8 weeks may consider their application unsuccessful and their data will be destroyed within 12 months of receipt.