Business Compliance & Operational Risks Manager
- Implement the risk control mechanisms (e.g KRIs) and risk monitoring requirements on the private banking business
- Review policies & procedures, risk assessment materials submitted by various units and to analyze the compliance/operation risks in new businesses / products / 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 weaknesses
- Perform self-assessment, gap analysis against internal and/or regulatory requirements
- Advise business units on operational risks and control matters, including coordinate business contingency plan
- Review operational risk incidents / customer complaints and monitor the implementation status of the action plans
- Perform regular and ad hoc monitoring on relevant business activities and prepare management reports on compliance and operation risk related review results
- Handle internal / external review or audit
- Degree or above
- At least 4 years banking experience, preferably Operational Risk Management, or relevant experience on private banking. With Compliance background is an advantage.
- Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks.
- Proficient in written, spoken English and Chinese
- Familiar with regulatory requirements of private banking