Business Compliance & Operation Risks Manager (Private Banking - Compliance) Business Compliance & Operation Risks Manager  …

Bank Of China (Hong Kong) Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 16 Sep 19
Competitive
Bank Of China (Hong Kong) Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 16 Sep 19
Competitive
Business Compliance & Operation Risks Manager (Private Banking - Compliance)
Responsibilities:
  • Review KYC profiles, account opening and review documents
  • Review marketing materials, policies & procedures, risk assessment materials submitted by business units and to analyze the compliance implications in new businesses / products / systems
  • Conduct regular and ad hoc AML and compliance related review/monitoring to identify possible compliance risks and provide recommendations to enhance control or procedural weaknesses, mitigate non-compliance risks
  • Perform self-assessment, gap analysis against internal or regulatory requirements
  • Advise business units on product suitability requirements and other compliance related matters
  • Review customer complaints and monitor the implementation status of the action plans
  • Prepare regular and management reports on compliance related review results
  • Handle internal / external review or audit
  • Provide guidance to junior team members
Requirements:
  • Degree or above
  • Around 3-7 years relevant working experience in financial institutions, preferably at least 3 years in private banking. Working experience in KYC and/or Compliance areas an asset.
  • Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks.
  • Good command of both verbal and written English and Chinese.
  • Familiar with AML and regulatory requirements of HKMA/SFC

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