Head of Retail Risk and Compliance Control

Job details

Location: Hong Kong S.A.R
Job Type: Permanent
Reference: HRRCC/NR130722
Posted: about 1 year ago

Job description


  • Establish the budget of the department and control the expenses incurred



  • Provide professional advice and support to Business Units of the Personal Banking Division on risk and control issues



  • Lead the delivery of AML-related functions including regular reviews for customers, transaction monitoring, investigation of suspicious transactions for branches of the Division

  • Provide quality assurance for those AML-related functions as delivered by the department for branches

  • Drive or coordinate the implementation of those risk and compliance related projects within the Division

  • Assist the Division in managing the operational risk as well as fraud risk of all channels and products

  • Monitor and work to resolve other non-AML related compliance issues within the Division, such as issues related to all retail banking products, Code of Banking Practice and Personal Data Privacy

  • Oversee risk and compliance issues related to investment & insurance selling activities as the 1.5 line of defense



  • To assign job responsibilities to staff members within the department

  • To exercise adequate level of staff supervision

  • To ensure staff members are professionally competent and well-trained


Compliance & Risk Management:

  • Comply with all applicable regulations, rules, codes, guidelines and standards set by regulators and the Bank, and carry out duties with high integrity

  • Adhere to all established risk control guidelines, procedures and measures to identify, assess, report, mitigate and monitor the risks involved in the day-to-day work



  • Keep abreast of the latest developments in operations of the Bank Group, and the requirements of regulatory authorities

  • Initiate or participate in ad-hoc projects as directed by the Division Head

  • Drive the establishment, implementation and monitoring of Treat Customer Fairly initiatives within the Division


Competence Requirements:

  • Minimum 15 years’ experience in banking sector

  • With knowledge and exposure in risk management, internal control or audit;

  • A confident, efficient and effective executive with initiative and strong leadership;

  • Able to exercise judgment, work under pressure and effectively communicate with the business and support units is essential;

  • Good interpersonal and resolution skills

  • Strategic thinking and open-minded

  • Good command of both spoken and written English and Chinese

If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, Web:


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Image 2022 02 26 T04 57 33
Image 2022 02 26 T04 57 33