Senior Business Compliance and Operation Risks Manager (Private Banking)

Responsibilities

• Act as first line of defense to Compliance and Operation Risk Manager. Review marketing/ product materials submitted by various units, and to analyze the compliance risks in new business/ products/ processes/ systems.
• Conduct trade surveillance, daily report monitoring and other regular transaction and work flow monitoring to identify possible compliance/ operational risks and provide recommendations to enhance control weakness.
• Work on regulatory reporting matters, internal/ external review of audit including coordinate with other departments, prepare response and carry out the relevant enhancements.
• Coordinate internal / external review, self-assessment or audit.
• Provide guidance to junior team members and conduct staff training where required.

Requirements

• Degree or above.
• 8 years of operational risk management experience in banking sector. Candidate from private banking background is an advantage.
• Independent, excellent analytical, time management and interpersonal skills, with the ability to prioritize tasks.
• Proficient in written, spoken English and Chinese.
• Familiar with regulatory requirements of private banking.
• Seniority commensurate with relevant work experience.