Compliance Manager - Corporate Risk & Compliance

Position Summary

To control and monitor the compliance related matters of wholesale banking for complying with the regulatory requirements and internal risk management framework.

Responsibilities

• Assist supervisor(s) to develop, enhance and implement control measures to rectify issues/ exceptions as identified by internal stakeholders and external auditors and regulators
• Conduct gap analysis on business processes and liaise with stakeholders to implement enhancement measures
• Participate in projects triggered by business or regulatory requirements
• Coordinate review/self-assessment by internal stakeholders, external auditors and regulators & assist in developing enhanced control measures to rectify those identified issues/exceptions
• Compile management reports on compliance related areas
• Perform ad hoc support and other duties as assigned

Requirements

• University degree, preferably major in business, finance or a related discipline
• At least 3 years’ experience in wholesale banking with knowledge on business control or compliance function
• Good understanding of relevant policies, procedures, practices and rules issued by HKMA, SFC, IA and other regulatory bodies
• Good understanding of corporate loan, trade finance, treasury and/or investment & insurance products
• Detail-minded, strong analytical and problem solving skills
• Holder of AAMLP/ CAMLP/ ACOP/ CCOP professional qualification(s) is preferred
• Good command of both spoken and written English and Chinese, fluent in Putonghua is preferable

(Candidate with more experience may be considered for Senior Compliance Manager)