Business Compliance & Operation Risks Manager (Private Banking - Compliance)
- Review KYC profiles, account opening and review documents
- Review marketing materials, policies & procedures, risk assessment materials submitted by business units and to analyze the compliance implications in new businesses / products / systems
- Conduct regular and ad hoc AML and compliance related review/monitoring to identify possible compliance risks and provide recommendations to enhance control or procedural weaknesses, mitigate non-compliance risks
- Perform self-assessment, gap analysis against internal or regulatory requirements
- Advise business units on product suitability requirements and other compliance related matters
- Review customer complaints and monitor the implementation status of the action plans
- Prepare regular and management reports on compliance related review results
- Handle internal / external review or audit
- Provide guidance to junior team members
- Degree or above
- Around 3-7 years relevant working experience in financial institutions, preferably at least 3 years in private banking. Working experience in KYC and/or Compliance areas an asset.
- Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks.
- Good command of both verbal and written English and Chinese.
- Familiar with AML and regulatory requirements of HKMA/SFC