Senior Business Compliance and Operation Risks Manager (Private Banking)

Responsibilities

• Act as first line of defense to Compliance and Operation Risk Manager. Review marketing/ product materials submitted by various units, and to analyze the compliance risks in new business/ products/ processes/ systems.
• Conduct trade surveillance, daily report monitoring and other regular transaction and work flow monitoring to identify possible compliance/ operational risks and provide recommendations to enhance control weakness.
• Work on regulatory reporting matters, internal/ external review of audit including coordinate with other departments, prepare response and carry out the relevant enhancements.
• Coordinate internal / external review, self-assessment or audit.
• Provide guidance to junior team members and conduct staff training where required.

Requirements

• Degree or above.
• 8 years of operational risk management experience in banking sector. Candidate from private banking background is an advantage.
• Independent, excellent analytical, time management and interpersonal skills, with the ability to prioritize tasks.
• Proficient in written, spoken English and Chinese.
• Familiar with regulatory requirements of private banking.
• Seniority commensurate with relevant work experience.

If you are applying for in-scope position(s) under the Mandatory Reference Checking Scheme (i.e., A role carrying out regulated activities licensed by the IA, SFC & MPFA), you are required to undergo the Mandatory Reference Checking. Our responsible recruiter will inform you the details of the MRC process and the requirements in due course. For details, please click here .