Mgr/Sr Manager - Compliance Review

2 days left

Location
Hong Kong
Salary
Attractive salary to the right candidate
Posted
18 Oct 2018
Closes
24 Oct 2018
Ref
4560082
Sector
Legal
Contract type
Permanent
Hours
Full time

Responsibilities:

  • Conduct risk-based compliance reviews according to the Annual Compliance Review Plan.
  • Identify and evaluate regulatory compliance risk and control issues and provide recommendations for improvement.
  • Compile compliance review reports to highlight major regulatory compliance issues and risk implications.
  • Conduct assigned special / ad-hoc reviews.
  • Coordinate regulatory onsite and offsite examinations conducted by the regulators.
  • Follow up management actions / rectification actions to resolve findings identified in compliance reviews and, where required, examinations undertaken by the regulators.
  • To assist Head of Compliance Review to formulate and update compliance review related policies, programs and control procedures in accordance with regulatory rules and requirements.
  • Review and monitor staff personal account dealing.

Requirements:

  • Generic Competency Requirements:
  • 6 years or above relevant experience
  • Understand relevant policies and procedures of the Bank as well as regulatory requirements
  • University degree business, finance, accounting or related discipline
  • Minimum 5 years in audit / compliance / compliance review experience in Big 4 or in banking / financial services industry
  • Proficiency in both English and Chinese, fluency in Mandarin is an advantage.
  • Independent, positive working attitude, willing to work under pressure

If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan enquiries@charterhouse.com.hk Tel: (852) 3151 1300 Web: www.charterhouse.com.hk

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