Compliance Review Department

Senior Compliance Manager - Compliance Review (Job ID: 2672)

Responsibilities

• To assist the Department Head in formulating and implementing the annual compliance review plan
• To carry out the compliance monitoring programmes on high-risk operations
• To perform scheduled branch visits, compliance reviews/ self-assessment on selected operations
• To prepare management report on branch visit and compliance review/ monitoring
• To provide recommendations on compliance issues and findings being identified
• To follow up the implementation of recommendations issued
• To supervise the performance of compliance reviews & branch visits and review the work done by Compliance Managers/ Assistant Compliance Managers
• To assist the Department Head in organizing and performing the compliance review initiatives
• To develop and design the compliance monitoring programmes/ compliance review/ self-assessment
• To participate in compliance training activities

Requirements

• University graduate OR relevant professional qualifications, such as AHKIB, CPA, etc.
• Minimum 8 years’ working experience in the financial services industry with compliance / audit / risk management / internal control experience as well as in-depth knowledge of requirements from HKMA / SFC / PCPD
• Excellent presentation and report writing skills
• A confident, efficient and effective team player with initiative and who is able to work independently
• Able to exercise judgment, work under pressure, and liaise effectively with business and supporting units
• Proficiency in both spoken and written English and Chinese
• PC literate with good knowledge of MS Office

Candidates with less working experience will be considered for a Manager position 

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