One of Hong Kong’s largest listed bank with major business activities comprise retail banking and wealth management, commercial banking, global banking and markets, and private banking is looking for a Compliance monitoring and Testing manager to join their Compliance team.

One of Hong Kong’s largest listed bank with major business activities comprise retail banking and wealth management, commercial banking, global banking and markets, and private banking is looking for a Compliance monitoring and Testing manager to join their Compliance team. 

 

Compliance monitoring and testing manager

Job level Middle
Work exp Minimum 5 Years
Education Bachelor Degree
Language Chinese - Cantonese
Location Hong Kong
Employment type Full Time
Benefits 5-day week
Industry Banking
Job function Legal / Professional Services > Legal & Compliance
Banking / Finance > Corporate Banking
Published On 07/10/2016

Job Description:

  • Conduct risk-based compliance reviews to test the adequacy of controls in place within Business/ Function, identify potential or actual breaches and ensure corrective actions
  • Track the status/ progress of corrective actions and prepare relevant MIs and reports for management
  • Manage the completion of compliance risk assessments to identify relevant risks, and prepare for annual testing plan
  • Conduct regular checking with respect to staff dealing rules as well as other dealing restrictions and disclosure requirements

Job requirements:

  • University degree in a related discipline
  • Minimum of five years' experience in compliance or relevant audit / risk management field covering a wide range of business areas
  • Knowledge and understanding of local laws and regulations, regulatory environment, key regulatory change initiatives and their impacts on the businesses
  • Good command of written and spoken English and Chinese including Putonghua
  • Self-motivated, with the ability to meet tight deadlines and work independently
  • Great sense of ownership and servicing mindset to ensure efficient and effective customer service processes

All interested parties, please send your full resume with current and expected salary to Priscilla Teo at priscillateo@pplesearch.com

*Only shortlisted candidates will be contacted for a more detailed discussion*