Senior Compliance Manager / Compliance Manager (Compliance Review)

Bank of China (Hong Kong) Limited; Hong Kong Island; On-site; HKD 600,000 - 800,000; Full time

Job summary

A leading financial institution seeks an (Assistant / Deputy) Compliance Manager in Hong Kong. In this role, you will conduct compliance reviews and manage annual compliance plans to ensure adherence to regulations. The ideal candidate holds a degree in related fields and has substantial experience in internal control within financial institutions.

Qualifications

• 5-7 years of internal control, assurance or audit experience with banks or financial institution.
• Knowledge of banking products, services and relevant regulatory requirements.
• Good command of both written and spoken English and Chinese.

Responsibilities

• Assist to formulate annual compliance review plan.
• Conduct regular/compliance reviews to ensure adherence to regulatory requirements.
• Act as leader of compliance reviews involving planning and reporting issues.

Skills

Analytical skills

Communication skills

Interpersonal skills

Adaptability

Education

Degree in Banking and Finance, Accounting or related disciplines

Job description

(Assistant / Deputy) Compliance Manager (Compliance Review)

(Assistant / Deputy) Compliance Manager (Compliance Review)

Apply Now Job No.: 498495
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: Legal, Risk Management

Responsibilities:

• Assist to formulate annual compliance review plan by referencing risk assessment results.
• Conduct regular/ thematic compliance reviews on an on-going basis covering the Bank and other major financial subsidiaries within the group to ensure adherence to regulatory/ Head Office requirements and internal policies.
• Coordinate or perform regulatory self-assessments.
• Keep abreast of regulatory requirements and changes / developments of business and operations of the Group.
• Depending on the coverage of individual compliance reviews, act as leader of compliance reviews which involve planning, use of review methodology/ tools, field work, reporting of issues.
• Maximize the application of technology for identification of irregularities and sample selection.

Requirements:

Degree holder or above in Banking and Finance, Accounting or related disciplines 5-7 years of internal control, assurance or audit experience with banks or financial institution
• knowledge of banking products, services and relevant regulatory requirements
• Good analytical, interpersonal and communication skills with flexibility and adaptability to changes
• Good command of both written and spoken English and Chinese (including Mandarin).
• Candidate with less experience will be considered as Assistant Manager or Deputy Manager

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