Senior Business Compliance Manager
- Conduct regular operations risk management and compliance monitoring program on risky areas to ensure the business processes are in accordance with SFO regulatory requirements and policies of the Bank.
- Provide a pro-active advisory and consultative service to the business on operational risk management, compliance and regulatory issues.
- Analyze potential risks of non-compliance and identify areas for improvement, thus to work out remedial measure and make recommendations accordingly.
- Monitor the implementation of rectifications and enhancement measures in relation to operations risk management and compliance issues.
- Formulate,evaluate, and roll-out the adequacy of control procedures, make recommendations for improvement and constantly monitor High risk areas.
- Assist the business in reviewing policies and procedures, and code control documents that meet local regulatory and Bank requirements.
- Conduct training to staff for promoting risk management and compliance awareness.
- Degree or above with major in Banking, Accounting, Finance, Law, or related disciplines.
- At least 7 years solid experience in control management of Asset Management, of which specialized in operational risk management or relevant experience in internal control or auditing.
- An understanding of Asset Management businesses, products and client services preferred Self-motivated, strong initiative, and attention to details.
- Effective time and project management skills.
- Good interpersonal, managerial, communication skills and cultural awareness.
- Good command of bother verbal and written English and Chinese.