Senior Manager – Business Compliance

Job description

• Minimum 6 years compliance testing /review experience in commercial banking
• International commercial bank
• Required – Chinese and English language skills

Responsibilities

• 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

Requirements

• 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
• Diversified experience in Information Technology audits is an added advantage
• 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, enquiries@charterhouse.com.hk Tel: (852) 3151 1300 Web: www.charterhouse.com.hk

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