Wealth Management - Internal Control and Compliance Manager Wealth Management - Internal Control and  …

China Guangfa Bank
in Hong Kong
Permanent, Full time
Last application, 19 Sep 21
N/A
China Guangfa Bank
in Hong Kong
Permanent, Full time
Last application, 19 Sep 21
N/A
Posted by:
Jennifer Lee • Recruiter
Posted by:
Jennifer Lee
Recruiter
China Guangfa Bank is a commercial banking corporation headquartered in Guangzhou, People's Republic of China. The bank was established in September 1988 as Guangdong Development Bank.

Responsibilities:

  • Conduct business reviews such as account opening and transaction monitoring, transaction procedures to ensure compliance with internal/external requirements, identify possible compliance/operational risks/violations, prepare management reports, and provide suggestions for reducing related risks.
  • Keep abreast of regulatory requirements and changes/developments in our business and operations. Conduct regular and special self-assessments, gap analysis, investigations, and independent reviews according to various internal and/or regulatory requirements, and conduct regular/special compliance reviews and reports to ensure compliance with regulatory and head office and branch requirements and internal policies.
  • Formulate internal control compliance policies and procedures related to wealth management, review various related policies and marketing procedures, marketing/product information, and analyze compliance risks of new businesses/products/processes/systems.
  • Provide advice on internal control and compliance matters, and conduct training to promote a compliance culture.
  • Communicate with internal and external parties on internal control and compliance matters, prepare to respond and implement relevant improvements.

Requirements:

  • Bachelor degree or above in the areas of Accounting, law, Finance or related discipline.
  • At least 7 years of banking and financial work experience, more than 3 years of relevant wealth management or private banking compliance work experience.
  • Knowledge or experience in AML/CFT, FATCA and CRS compliance is preferred.
  • Familiar with the regulatory requirements of insurance, wealth management or private banking.
  • Extensive experience in matters related to compliance review, especially in the private banking sector and general banking sector.
  • Independent, excellent analytical skills, time management skills and good interpersonal and communication skills, able to work with internal teams.
  • People-oriented, team spirit.
  • Fluent in written and spoken Chinese and English (Putonghua is preferred), proficient in computer skills.
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