Senior Business Compliance Manager ( Business Risk and Control - Retail banking)
- To assist in conducting Investment and Insurance sales risk control checking, alert and report on regulatory irregularities and potential compliance risk
- Formulate, evaluate and roll-out the adequacy of control procedures, make recommendations for improvement and constantly monitor high risk areas
- Manage and enhance an effective compliance and control infrastructure, such as risk data analysis and feedback mechanism, thus to improve the efficiency and effectiveness of compliance work
- Review gap analysis in relation to the latest regulatory requirements
- To compile management reports on risk management and compliance related areas
- Degree or above with major in Accounting, Finance, Risk Management, Law, or related discipline.
- Over 5 years of experience in Compliance or Audit works in Financial and Banking industries
- Able to handle multi-tasks independently and work under pressure
- Possess strong analytical skill and report writing skill
- Process control assurance experience in Investment and Insurance products for call monitoring, post sales call and documentation checking.
- Good command of both spoken and written English and Chinese. Mandarin is an advantage