Job details
| Location: | Hong Kong S.A.R |
| Job Type: | Permanent |
| Discipline: | |
| Reference: | ACTPB/NR260421 |
| Posted: | almost 3 years ago |
Job description
Responsibilities:
- Identify and rectify internal breaches/control weakness through ongoing review/monitoring of the control framework from group and local regulatory requirement perspective;
- Conduct regular reviews and surveillance on Compliance and controls framework, which cover the following and not limited to - investment selling practice (suitability), product due diligence, general compliance, ad-hoc thematic reviews;
- Prepare documentation to report and escalate any issues and exceptions for managerial review; recommend the mitigation actions where needed;
- Capture and analyze data and identify trends in assessing regulatory compliance risks and advise stakeholders in developing effective controls
- Assist in the preparation and submission of compliance/regulatory reports for management, regulators, auditors etc;
- Assist in audits and inspections, and investigations where required;
- Involve in special work projects and other Compliance team work matters as and when required
Requirements:
- University degree;
- 5 - 7 years of relevant experience in monitoring and testing, general compliance in private banking
- Good interpersonal communication and writing skills, team player
- Able to identify control weakness, and provide recommendation for business action;
- Motivated and self-driven; able to handle issues and resolve challenges in collaboration with different stakeholders;
- Fluent English and Chinese language skills
If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, nestor.roldan@charterhouse.com.hk Web: www.charterhouse.com.hk
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