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AVP Compliance Department Hong Kong-Compliance Assurance Job Opening In Hong Kong, Hong Kong – Now Hiring Captiare


Job description

Assistant Vice President -


Compliance Department Hong Kong - Compliance Assurance


Job Duties & 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 (“LCO”).

  • 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.

  • Escalate key issues, including matters with regulatory concerns to the Manager on a timely basis.
  • 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.

  • 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
  • Save this job

    Required Skill Profession

    Business Operations Specialists


    • Job Details

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