(Assistant - Senior) Manager, Business Compliance & Operation Risks (Compliance, Private Banking)

Bank Of China (Hong Kong) Limited Hong Kong

Posted 2 days ago Permanent Competitive

Responsibilities:

Act as first line of defense to advise business on compliance and control matters, conduct transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible compliance/operational risks/breaches, prepare management report(s) and provide recommendations to mitigate relevant risks
Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business
Review marketing/product materials submitted by various units, and to analyze the compliance risks in new businesses / products / processes/ systems
Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various internal and/or regulatory requirements. Recommend follow up action to close the gaps
Prepare regular (monthly/quarterly/annually) and ad hoc internal reporting to senior management, second line of defense
Assist to conduct training to promote compliance culture
Assist to investigate customer complaints
Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements; or any other tasks assigned by supervisor.

Requirements:

Degree or above
3+ years working experience in banking and finance, at least 1 years in relevant private banking Compliance. Strong investment product knowledge is an advantage.
Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks.
Proficient in written, spoken English and Chinese
Familiar with the regulatory requirements of private banking
Seniority commensurate with relevant work experience

If you are applying for in-scope position(s) under the Mandatory Reference Checking Scheme (i.e., A role carrying out regulated activities licensed by the IA, SFC & MPFA), you are required to undergo the Mandatory Reference Checking. Our responsible recruiter will inform you the details of the MRC process and the requirements in due course. For details, please click here .

Job ID 500034

Please Stay Alert to Potential Scams

We would like to remind you that eFinancialCareers is a job board and does not conduct hiring or ask for payment or any financial details as part of the job application process.

If you receive any suspicious messages claiming to be from us or a hiring company, we urge you not to click on any links and not to reply to the message itself.

Instead, please report the message to our support team at support@efinancialcareers.com.

It is advisable to always verify job offers directly with the hiring company.

More Jobs From Bank Of China (Hong Kong) Limited