Assistant Vice President -

Compliance Department Hong Kong - Compliance Assurance

Job Duties & Responsibilities:

Conduct effective, objective, risk-based compliance monitoring activities pursuant to the annual Compliance Monitoring Plan.
Identify potential or actual regulatory risks arising from the results of compliance monitoring and proposing recommendations to the relevant stakeholders in order to mitigate the identified risks.
Conduct compliance review in accordance with the plan, and upon request by the Manager, Local Compliance Officer (“LCO”).
Review and assess the adequacy and effectiveness of the Bank’s compliance risk control framework. Identify key deficiencies, assess the implications, and provide recommendations to the relevant stakeholders on mitigating actions.
Follow up with relevant stakeholders on the implementation of agreed actions after the compliance reviews.
Upon request, follow up on the management actions arising from Internal Audit reviews or regulatory examinations, where appropriate.
Prepare regular and ad hoc reports for the Manager to review for submission to Branch management, Regional and Head Office.
Assist in ad hoc compliance related review or investigation / carry out any other duties as instructed by the Manager.
Escalate key issues, including matters with regulatory concerns to the Manager on a timely basis.

Requirements:

University graduate, preferably with professional qualifications e.g. CPA
8 years’ relevant experience in compliance, operational risk management, risk control function and/or internal audit, etc.
Sound knowledge in laws and regulations applicable for banking industry
Good team player with strong interpersonal skills
Good command of written and spoken English & Chinese
Independent, self-motivated and able to work under pressure