Senior Business Compliance Manager - Commercial Banking

Job details

Location: Hong Kong
Job Type: Permanent
Reference: SBCM/NR260918
Posted: about 3 years ago

Job description


  • Perform Control Self-Assessment (CSA) to ensure divisions / departments are in compliance with applicable regulatory rules and requirements
  • Maintain an effective CSA checking mechanism and review approach
  • Assist divisions / departments to prepare Key Risk Indicators (KRI) reports based on data provided by divisions / departments
  • Review gap analysis reports prepared by divisions / departments and provide advice
  • Prepare reports on issues / non-compliance identified in CSA checking and KRI reporting
  • Review Operational Risk Event (ORE) Reports relating to non-compliance / breaches
  • Monitor status of completion of remedial / preventive measures for exceptions identified in CSA, KRI reporting, Gap Analysis Report, Operational Error Report and report overdue remedial measures to relevant management committee
  • Co-ordinate and handle enquires from divisions / departments regarding regulatory compliance requirements, discuss and work out advice with Operational Risk Management
  • Perform ad hoc duties as assigned by Head of Business Compliance or senior Management


  • University graduate in Accounting, Business Administration or related disciplines.
  • Professional qualifications of CPA, ACCA and/or CIA is an added asset.
  • At least 6 years solid experience in compliance / audit / operational risk management in financial services industry
  • Well-versed in HKMA supervisory control requirements and regulatory codes, rules and requirements
  • Strong product knowledge in the banking industry with good business sense
  • Able to work independently and deal with different levels of management
  • Strong collaborative and interpersonal skills for building and maintaining effective working relationship with stakeholders and colleagues
  • Ability to think objectively and exercise good judgment in analyzing risk and control issues and recommending solutions
  • Good command of written and spoken English and Chinese

If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan,  Tel: (852) 3151 1300 Web:

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