Conduct risk-based compliance reviews according to the Annual Compliance Review Plan.
Identify and evaluate regulatory compliance risk and control issues and provide recommendations for improvement.
Compile compliance review reports to highlight major regulatory compliance issues and risk implications.
Conduct assigned special / ad-hoc reviews.
Coordinate regulatory onsite and offsite examinations conducted by the regulators.
Follow up management actions / rectification actions to resolve findings identified in compliance reviews and, where required, examinations undertaken by the regulators.
To assist Head of Compliance Review to formulate and update compliance review related policies, programs and control procedures in accordance with regulatory rules and requirements.
Review and monitor staff personal account dealing.
6 years or above relevant experience
Understand relevant policies and procedures of the Bank as well as regulatory requirements
University degree business, finance, accounting or related discipline
Minimum 5 years in audit / compliance / compliance review experience in Big 4 or in banking / financial services industry
Proficiency in both English and Chinese, fluency in Mandarin is an advantage.
Independent, positive working attitude, willing to work under pressure
If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, firstname.lastname@example.org Web: www.charterhouse.com.hk
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