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Senior Manager/ Manager/ Assistant Manager, Business Compliance (Compliance, Private Banking)

icon building Company : Bank Of China (Hong Kong) Limited
icon briefcase Job Type : Full Time
icon geo-alt Hong Kong

Number of Applicants

 : 

000+

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Job Description - Senior Manager/ Manager/ Assistant Manager, Business Compliance (Compliance, Private Banking)

Responsibilities:
  • Act as first line of defense to advise business on compliance and control matters, conduct transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible compliance/ operational risk/ breaches, prepare management report(s) and provide recommendations to mitigate relevant risks.
  • Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business.
  • Review marketing/ product materials submitted by various units, and to analyze the compliance risks in new business/ products/ processes/ system.
  • Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various internal and/or regulatory requirements. Recommend follow up action to close the gaps.
  • Prepare regular (monthly/quarterly/annually) and ad hoc internal reporting to senior management, second line of defense.
  • Assist to conduct training to promote compliance culture.
  • Assist to investigate customer complaints.
  • Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements; or any other tasks assigned by supervisor.
Requirements:
  • Degree or above.
  • 3+ years working experience in banking and finance, at least 1 year in relevant private banking Compliance. Strong investment product knowledge is an advantage.
  • Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks.
  • Proficient in written, spoken English and Chinese.
  • Familiar with regulatory requirements of private banking.
  • Seniority commensurate with relevant work experience.
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Original job Senior Manager/ Manager/ Assistant Manager, Business Compliance (Compliance, Private Banking) posted on GrabJobs ©. To flag any issues with this job please use the Report Job button on GrabJobs.
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