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(Assistant - Senior) Manager, Business Compliance & Operation Risks (Compli at Bank of China (Hong Kong) Limited

, , -

Full Time

Start Date

Immediate

Expiry Date

14 Sep, 26

Salary

0.0

Posted On

16 Jun, 26

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance, Operational Risk Management, Transaction Monitoring, Regulatory Reporting, Private Banking, Gap Analysis, Internal Audit, Risk Mitigation, Analytical Skills, Interpersonal Skills, Time Management, Investment Product Knowledge

Industry

Banking

Description

Responsibilities: * Act as first line of defense to advise business on compliance and control matters, conduct transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible compliance/operational risks/breaches, prepare management report(s) and provide recommendations to mitigate relevant risks * Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business * Review marketing/product materials submitted by various units, and to analyze the compliance risks in new businesses / products / processes/ systems * Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various internal and/or regulatory requirements. Recommend follow up action to close the gaps * Prepare regular (monthly/quarterly/annually) and ad hoc internal reporting to senior management, second line of defense * Assist to conduct training to promote compliance culture * Assist to investigate customer complaints * Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements; or any other tasks assigned by supervisor. Requirements: * Degree or above * 3+ years working experience in banking and finance, at least 1 years in relevant private banking Compliance. Strong investment product knowledge is an advantage. * Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks. * Proficient in written, spoken English and Chinese * Familiar with the regulatory requirements of private banking * Seniority commensurate with relevant work experience

Responsibilities

Act as the first line of defense to advise the business on compliance and control matters while conducting transaction monitoring and business reviews. Implement regulatory requirements, review marketing materials, and prepare management reports to mitigate operational risks.