Senior Business Compliance & Operational Risk Manager (Private Banking - Compliance)

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Bank Of China (Hong Kong) Limited
  • 17 Jan 18 2018-01-17

Senior Business Compliance & Operational Risk Manager (Private Banking - Compliance)

Responsibilities:

  • Review KYC profiles and account opening applications
  • Review marketing materials, policies & procedures, risk assessment materials submitted by various units and to analyze the compliance/operation risks in new businesses / products / systems
  • Conduct AML and compliance related review/monitoring to identify possible compliance/operational risks and provide recommendations to enhance control weaknesses/mitigate non-compliance risks
  • Perform self-assessment, gap analysis against internal or regulatory requirements
  • Advise business units on product suitability and other compliance related matters
  • Review customer complaints and monitor the implementation status of the action plans
  • Prepare regular and management reports on compliance and operation risk related review results
  • Handle internal / external review or audit
  • Provide guidance to junior team members
Requirements:
  • Degree or above
  • At least 6 years relevant working experience in financial institutions, which at least 3 years in private banking.
  • Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks.
  • Proficient in written, spoken English and Chinese
  • Familiar with the AML/KYC and regulatory requirements of private banking