Compliance Manager, Compliance Review (CM/CR/NR090620) Compliance Manager, Compliance Review  …

Charterhouse Partnership Hong Kong
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 10 Jul 20
Excellent
Charterhouse Partnership Hong Kong
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 10 Jul 20
Excellent
Minimum 6 years compliance testing or review or operational risk experience in commercial banking International commercial bank Required – Chinese and English language skills

Responsibilities:

  • Conduct risk-based compliance reviews according to the Annual Compliance Review Plan.
  • \dentify and evaluate regulatory compliance risk and control issues and provide recommendations for improvement.
  • Compile compliance review reports to highlight major regulatory compliance issues and risk implications.
  • Conduct assigned special / ad-hoc reviews.
  • Coordinate regulatory onsite and offsite examinations conducted by the regulators.
  • Follow up management actions / rectification actions to resolve findings identified in compliance reviews and, where required, examinations undertaken by the regulators.
  • To assist Head of Compliance Review to formulate and update compliance review related policies, programs and control procedures in accordance with regulatory rules and requirements.
  • Review and monitor staff personal account dealing.

 

Requirements:

Generic Competency Requirements:

  • 6 years or above relevant experience
  • Understand relevant policies and procedures of the Bank as well as regulatory requirements
  • University degree business, finance, accounting or related discipline 
  • Minimum 5 years in audit / compliance / compliance review experience in Big 4 or in banking / financial services industry
  • Proficiency in both English and Chinese, fluency in Mandarin is an advantage.
  • Independent, positive working attitude, willing to work under pressure

If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, enquiries@ charterhouse.com.hk  Tel: (852) 3151 1300 Web: www.charterhouse.com.hk

Charterhouse Partnership Hong Kong is here to assist you in your job search. Our experienced recruitment consultants will provide you career advise and assist you in developing a tailored job search strategy

 

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