Mgr/Sr Manager - Compliance Review

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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