Mgr/Sr Manager - Compliance Review


Responsibilities:
  • Conduct risk-based compliance reviews according to the Annual Compliance Review Plan.
  • Identify 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:

  • 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

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