Compliance review, AVP

  • Negotiable
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • ConnectedGroup Limited
  • 16 Aug 18 2018-08-16

Our client is a global banking group is looking for a compliance candidate for their general compliance team.

RESPONSIBILITIES


  • Conduct compliance regulatory reviews and investigations in Hong Kong, and also regionally
  • Proactively identify, assess, report and mitigate the compliance risks
  • Submit an annual Compliance review plan based on the findings of Compliance risk assessments, trade surveillance and internal audit reports as well as external investigations/inspections
  • Assist management in conducting reviews on business areas to identify areas for improvements
  • Assist management in conducting reviews on cases that are being investigated or reviewed by regulators
  • Liaises with regulatory authorities in Hong Kong
  • Conduct Compliance reviews in those activities/entities identified as being exposed to potential regulatory sanction due to multiple regulatory breaches or displaying significant systems and control deficiencies
  • Assist to handle daily compliance enquiries and provide compliance advice
  • Assist to review and update compliance policies and procedures
  • Assist in other ad-hoc compliance projects









REQUIREMENTS


  • Degree holder in Business Administration, Risk Management, Law or related disciplines
  • More than 5 years of compliance experience, preferably with investigation and review
  • Good knowledge of regulatory regime
  • Excellent written and spoken English and Cantonese is essential