- Conduct risk-based compliance reviews according to the Annual Compliance Review Plan.
- dentify 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.
Generic Competency Requirements:
- 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, email@example.com Web: www.charterhouse.com.hk
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