PeopleSearch has been voted “Top 10 HR Vendor of the Year” by readers of Human Resources magazine since 2007. Our clients are market leaders with aggressive growth plans. If you are looking for a challenging career that will bring you to new levels of success, we would be delighted to meet...

PeopleSearch has been voted “Top 10 HR Vendor of the Year” by readers of Human Resources magazine since 2007.

Our clients are market leaders with aggressive growth plans. If you are looking for a challenging career that will bring you to new levels of success, we would be delighted to meet you and understand your career goals better.

Compliance Manager

Job level Middle
Education
Location Hong Kong
Employment type
Industry Banking
Job function Banking / Finance > Legal / Compliance
Published On 08/11/2016

Job Descriptions:

  • Implementing compliance policies and guidelines, including performing gap analysis and providing training to business units
  • Designing and implementing risk-based compliance monitoring programs (including data mining and analysis) for identification of suspicious transactions for further investigation and test adherence to the compliance policies and guidelines
  • Identify, assess and report control weaknesses and/or noncompliance with regulator requirements; and recommend remedial actions to address the deficiencies. Monitors implementation of the remedial actions
  • Conducting reviews in accordance with company compliance guidelines on compliance reviews and within the timelines as specified in the annual compliance plan
  • Investigate and analyze nature of incidents, including identification of root causes and remedial actions
  • Report compliance incidents in accordance with the company compliance reporting protocol and monitors implementation of remedial actions by responsible business processes owners
  • Review product related materials to ensure they are appropriate, not misleading and disclose are sufficient and comply with regulatory requirements
  • Provide compliance risk assessment regarding their business initiatives and proposes business solutions

Requirements:

  • Bachelor’s degree in Accounting, Finance, Law or Business with a minimum of 6 years solid working experience in the financial services industry focused on compliance, risk management, legal and/or internal controls
  • Professional qualification in life insurance, Compliance, Internal Audit or related disciplines is preferred
  • Proficient in use of data mining and analysis tool is an advantage
  • Good written and spoken communication skills in English and Chinese

All interested parties, please send your full resume to eliwong@pplesearch.com or contact our senior consultant Eli Wong at 852 6377 1892 if you have any enquiries.