A sizable overseas Bank is looking for an AVP level candidate for their Compliance Assurance team.
Responsibilities:
- Conduct effective, objective, risk-based compliance monitoring activities pursuant to the annual Compliance Monitoring Plan.
- Identify potential or actual regulatory risks arising from the results of compliance monitoring and proposing recommendations to the relevant stakeholders in order to mitigate the identified risks.
- Conduct compliance review in accordance with the plan, and upon request by the Manager, Local Compliance Officer.
- Review and assess the adequacy and effectiveness of the Bank's compliance risk control framework. Identify key deficiencies, assess the implications, and provide recommendations to the relevant stakeholders on mitigating actions.
- Follow up with relevant stakeholders on the implementation of agreed actions after the compliance reviews.
- Upon request, follow up on the management actions arising from Internal Audit reviews or regulatory examinations, where appropriate.
- Prepare regular and ad hoc reports for the Manager to review for submission to Branch management, Regional and Head Office.
- Assist in ad hoc compliance related review or investigation / carry out any other duties as instructed by the Manager.
Requirements:
- University graduate, preferably with professional qualifications e.g. CPA
- 8 years' relevant experience in compliance, operational risk management, risk control function and/or internal audit, etc. within the banking sector
- Sound knowledge in laws and regulations applicable for banking industry
- Good team player with strong interpersonal skills
- Good command of written and spoken English & Chinese
- Independent, self-motivated and able to work under pressure
