Our client is one of the largest listed companies in Hong Kong engaging in retail banking and wealth management, commercial banking, global banking and markets and private banking.

Our client is one of the largest listed companies in Hong Kong engaging in retail banking and wealth management, commercial banking, global banking and markets and private banking. 

Compliance Monitoring and Testing Manager

Job level Middle
Education
Location Hong Kong
Employment type
Industry Banking
Job function Banking / Finance > Legal / Compliance
Banking / Finance > Corporate Banking
Banking / Finance > Corporate Finance
Published On 20/10/2016

Job Descriptions:

  • Conduct risk-based compliance reviews to identify potential or actual breaches and ensure corrective actions within Business / Function
  • Track the status 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 and other disclosure requirements

Requirements:

  • Degree holder in related disciplines, preferably in law, finance, economics and account
  • At least 5 years’ experience in compliance or relevant audit / risk management field covering a wide range of business areas
  • Knowledge of local laws and regulations, regulatory environment and their impact on the businesses
  • Good command of written and spoken English and Chinese (Cantonese and Putonghua)
  • Self-motivated, with the ability to meet tight deadlines and work indepently
  • Great sense of ownership and servicing mindset to deliver efficient and effective customer service processes

All interested parties, please send your full resume to our Senior Consultant at eliwong@pplesearch.com