AVP, Compliance Review and Testing
My client is a global bank with strong presence in Hong Kong/ APAC. Due to increased business needs, they are urgently looking for an AVP to support Compliance Review and Testing QA program Responsibilities:
- Perform level 2 quality assurance program on key compliance topics in accordance with the compliance manual including regulatory disclosures at transactions, churning, market abuse, and other areas, as required.
- Conduct compliane reviews such as reviewing samples and indentifying issues
- Supervise junior staff who assist in the QA program
- Liaise with relevant key stakeholders to collect all necessary information for reviews
- Engage in ad hoc projects
- Immediately available
- At least 5 years experience in the private banking/ wealth management, in an internal control/auditing/testing function
- Familiar with reviews/testing processes; good knowledge banking/securities regulations are a plus.
- Good communication and interpersonal skills with ability to work as a good team player.
- Strong commitment to finish the assigned tasks.