Director, Business Compliance and Operational Risks (Private Banking) Director, Business Compliance and Operational  …

Bank Of China (Hong Kong) Limited
in Hong Kong
Permanent, Full time
Last application, 17 Jun 21
Competitive
Bank Of China (Hong Kong) Limited
in Hong Kong
Permanent, Full time
Last application, 17 Jun 21
Competitive
Director, Business Compliance and Operational Risks (Private Banking)
Responsibilities:
  • Act as first line of defense to conduct transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible compliance/operational risks/breaches, prepare management report(s) and provide recommendations to mitigate relevant risks
  • Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business
  • Review policies & procedures, marketing/product materials submitted by various units, and to analyze the compliance risks in new businesses / products / processes/ systems
  • Perform regular and ad hoc self-assessment, gap analysis, survey, independent review against various internal and/or regulatory requirements. Recommend follow up action to close the gaps
  • Prepare regular (monthly/quarterly/annually) and ad hoc internal reporting to senior management, second line of defense
  • Advise business units on compliance and control matters conduct training to promote compliance culture
  • Investigate customer complaints
  • Handle internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements
  • Review internal monitoring workings/reports and provide guidance to junior team members

Requirements:
  • Degree holder or above
  • 10+ years working experience in banking and finance, at least 7 years in relevant private banking Compliance
  • Strong investment product knowledge 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 the regulatory requirements of private banking


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