Risk and Compliance Manager - Treasury Markets Support

Responsibilities

• Be a member of Treasury Markets Support Department, and promote the compliance and risk culture within Treasury Markets Division
• Actively participate in developing and enhancing an effective compliance/risk infrastructure in front office to accommodate regulatory requirements and mitigate compliance, operational and reputational risks
• Formulate and review relevant departmental/cross-departmental manuals with respect to compliance, operational and reputational risk on annual and need basis
• Strengthen the risk culture and risk management proficiency of staff in TMD. Lead the RCSA exercise to ensure high control effectiveness within the unit
• Prepare new product memos with executive summary for business departments in TMD for NPEWG's concurrence
• Perform compliance/risk assessment (e.g. FATCA, AML, Volcker assessment etc.) on new product/business initiatives proposed by product owners
• Understand Treasury's business/operations and provide advice, interpretation and recommendation on existing and new regulatory compliance requirements and identify potential risk involved
• Liaise with central compliance in reviewing current and new business initiatives and comments including the review of departmental/operational procedure manuals and marketing materials
• Develop and provide risk and compliance training to the Treasury staff on a need basis
• Handle customer complaints
• Conduct regulatory gap analysis and follow up with the actions required
• Provide on various ISDA, CSA and GMRA documentation support in relation to TMD

Requirements

• University graduate with at least 3 years working experience in banking or auditing industry; Exposures in Compliance, Operational Risk, Audit, Middle Office or Treasury Operations are preferred; relevant HKIB qualifications obtained would be advantageous
• Familiar with local regulatory requirements, including but not limited to HKMA SPM;
• Time management skills and able to work independently with relevant stakeholders to meet the hard deadlines;
• Highly motivated self-starter with a proactive approach;
• A fast learner and adaptive to change. Able to work under pressure;
• A team player with good communication skills;
• Able to exercise judgment and liaise effectively with the business and supporting units;
• Good command of English and Chinese. Excellent business writing skills are essential; 
• Staff will be supported to attend training programs that meet the ECF-TM/ ECF-ORM standards

(Candidates with more experience would be considered as Senior Risk and Compliance Manager)