Our client, a leading banking group, is urgently looking for a Manager to join their compliance team.
- Advise the senior management and relevant business units on compliance related issues
- Provide support to business and/or supporting units in the development, implementation and regular review of policies and procedures to ensure compliance with statutory, regulatory and internal requirements
- Provide compliance training to the bank staff on a need basis
- Conduct risk-based compliance reviews according to the Annual Compliance Review Plan
- Identify and evaluate regulatory compliance risk and control issues and provide recommendations for improvement
- Compile compliance review reports to highlight major regulatory compliance issues and risk implications
- Conduct assigned special / ad-hoc reviews
- Coordinate regulatory onsite and offsite examinations conducted by the regulators
- Follow up management actions / rectification actions to resolve findings identified in compliance reviews and, where required, examinations undertaken by the regulators.
- To assist Head of Compliance Review to formulate and update compliance review related policies, programs and control procedures in accordance with regulatory rules and requirements
- Review and monitor staff personal account dealing
- Lead and supervise a team of subordinates/assigned staff to discharge the above functions
- Take up ad-hoc assignments, projects and job rotation as designated by Division Head / Senior Management
- University degree in a related discipline
- Minimum 8 years in audit / compliance / compliance review experience in Big 4 or in banking / financial services industry
- Proficiency in both English and Chinese, fluency in Mandarin is an advantage.
- Proactive mind, positive working attitude and sound leadership, communication and interpersonal skills
- Self-initiative, independent and willing to work under pressure
*** Candidate with less experience will be considered as Manager, Compliance position.