Internal Control and Compliance Manager

Our client is a one of the top tier Corporate Bank in Hong Kong and Global Market.

Responsibilities:

• Conduct business reviews such as account opening and transaction monitoring, transaction procedures to ensure compliance with internal/external requirements, identify possible compliance/operational risks/violations, prepare management reports, and provide suggestions for reducing related risks.
• Review and update regulatory requirements and changes/developments in our business and operations.
• Conduct regular and special self-assessments, gap analysis, investigations, and independent reviews according to various internal and/or regulatory requirements and conduct regular/special compliance reviews and reports to ensure compliance with regulatory and head office and branch requirements and internal policies.
• Formulate internal control compliance policies and procedures related to wealth management, review various related policies and marketing procedures, marketing/product information, and analyse compliance risks of new businesses/products/processes/systems.
• Provide advice on internal control and compliance matters, and conduct training to promote a compliance culture.
• Communicate with internal and external parties on internal control and compliance matters, prepare to respond and implement relevant improvements.
  
  

Requirements:

• Bachelor degree or above in the areas of Accounting, law, Finance or related discipline.
• At least 5 years of banking and insurance work experience, more than 3 years of relevant wealth management or private banking compliance work experience.
• Knowledge or experience in AML/CFT, FATCA and CRS compliance is preferred.
• Familiar with the regulatory requirements of insurance, wealth management or private banking.
• Extensive experience in matters related to compliance review, especially in the private banking sector and general banking sector.
• Independent, excellent analytical skills, time management skills and good interpersonal and communication skills, able to work with internal teams.
• People-oriented, team spirit.
• Fluent in written and spoken Chinese and English (Putonghua is preferred), proficient in computer skills.

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