Risk & Compliance Associate – Senior Officer / Officer

GENERAL SUMMARY

The Senior Associate / Associate is responsible to provide support to both compliance function and risk management function of the Hong Kong Branch.

ESSENTIAL FUNCTIONS

Essential functions include one or more of the following tasks, as assigned or directed from time to time by the Risk and Compliance Officer:

1. Assist in managing the compliance and risk function of the Branch.
2. Assist in conducting compliance reviews and preparing review reports to the Branch Management.
3. Assist in monitoring and analyzing new legislation or regulatory changes and communicating such changes to respective business units.
4. Assist in formulating the risk management framework with business units and reviewing the policies, procedures and guidelines in line with risk management framework and the Bank’s risk appetite.
5. Assist in coordinating compliance audits and conducting stress testing periodically.
6. Advise the business on compliance and risk monitoring related matters.
7. Assist in training team members on issues and promoting awareness related to compliance and risk management.
8. Partner with business units in conducting risk and control assessment.
9. Assist in responding to enquiries from regulators.
10. Assume the backup for the Risk and Compliance Officer when he is out of office if necessary.
11. Provide support to projects relating to risk monitoring matters and business process improvements.
12. Assist in ad-hoc projects as required.

QUALIFICATIONS

• Education:   Degree holder in Law, Accounting, Finance or related discipline. Holder of relevant professional qualifications and Enhanced Competency Framework certification will be viewed favorably.
• Experience: Minimum 1 year working experience in financial services industry or accounting practice with exposure in financial services is preferred. Candidates with less experience will still be considered.
• Skills/Ability: Strong interpersonal and communication skills; Good analytical and problem-solving abilities; Fluency in English and Cantonese; Proficiency in MS Office applications, especially Excel data analytical tools; and Cooperates and works effectively with others; Recognizes, supports, and respects others.