Senior Manager - Business Compliance
- Location
- Hong Kong
- Salary
- Excellent
- Posted
- 15 Dec 2018
- Closes
- 19 Dec 2018
- Ref
- 4563895
- Sector
- Accounting - Public practice
- Contract type
- Permanent
- Hours
- Full time
- Experience level
- Manager
Responsibilities
- Perform Control Self-Assessment (CSA) to ensure divisions / departments are in compliance with applicable regulatory rules and requirements
- Maintain an effective CSA checking mechanism and review approach
- Assist divisions / departments to prepare Key Risk Indicators (KRI) reports based on data provided by divisions / departments
- Review gap analysis reports prepared by divisions / departments and provide advice
- Prepare reports on issues / non-compliance identified in CSA checking and KRI
- Review Operational Risk Event (ORE) Reports relating to non-compliance / breaches
- Monitor status of completion of remedial / preventive measures for exceptions identified in CSA, KRI reporting, Gap Analysis Report, Operational Error Report and report overdue remedial measures to relevant management committee
- Co-ordinate and handle enquires from divisions / departments regarding regulatory compliance requirements, discuss and work out advice with Operational Risk Management
- Perform ad hoc duties as assigned by Head of Business Compliance or Senior Management
Requirements
- University graduate in Accounting, Business Administration or related disciplines.
- Professional qualifications of CPA, ACCA and/or CIA is an added asset.
- At least 6 years solid experience in compliance / audit / operational risk management in financial services industry
- Well-versed in HKMA supervisory control requirements and regulatory codes, rules and requirements
- Strong product knowledge in the banking industry with good business sense
- Diversified experience in Information Technology audits is an added advantage
- Able to work independently and deal with different levels of management
- Strong collaborative and interpersonal skills for building and maintaining effective working relationship with stakeholders and colleagues
- Ability to think objectively and exercise good judgment in analyzing risk and control issues and recommending solutions
- Good command of written and spoken English and Chinese
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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