AVP, Compliance Review and Testing AVP, Compliance Review and Testing …

Morgan McKinley
in Hong Kong
Contract, Full time
Last application, 15 Apr 21
Competitive
Morgan McKinley
in Hong Kong
Contract, Full time
Last application, 15 Apr 21
Competitive
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
Requirements:
  • 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.
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