Assistant Vice President/Manager, Compliance Review

Responsibilities

• Lead/ coordinate and conduct compliance review on local and overseas operations of the Bank and its subsidiaries through interviews, document inspection and on-site visits etc. so as to ensure compliance with internal policies/guidelines as well as external regulatory requirements/ expectations
• Review at least regularly the risk-based compliance review program of the Bank as well as develop/ enhance individual compliance review programs for new or existing compliance reviews
• Proactively identify, assess, report and mitigate the compliance risks of local and overseas operations
• Provide practical recommendations for internal units under review to address the compliance review findings identified
• Review/ prepare compliance review reports
• Track implementation status of rectifications agreed by reviewed units through completion
• Report compliance review results of the Bank and its subsidiaries to senior management on regular basis
• Co-ordinate and prepare materials for reporting in the meetings of various Board/ management-level committees
• Handle enquiries from auditors and regulators

Requirements

• Degree holder in Business Administration, Accounting, Risk Management, Law or related disciplines
• Minimum 5 to 8 years of experience in areas related to Audit, Compliance or Control functions, with general understanding of Credit operations
• Well versed in Hong Kong banking regulatory requirements, with general understanding of relevant banking regulations in the Mainland China, the United States and the United Kingdom
• Good understanding of compliance review and/or audit standard and methodology
• Good report writing, analytical and interpersonal skills
• Responsible, detailed-mind, well-organized with good communication skills
• Occasional travel to overseas countries required