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SVP / VP / AVP / Sr. Manager / Manager - Compliance / Internal Audit (Banking / Financial Services)Corporate HR Management Consultancy Limited
  • Not Specified
  • Salary negotiable
  • Posted on 16 Mar 2019
SVP / VP / AVP / Sr. Manager / Manager - Compliance / Internal Audit (Banking / Financial Services)Corporate HR Management Consultancy Limited
Job Highlights
  • 5-10 years relevant experience in banking
  • bank compliance, AML, KYC, risk, legal
  • Corporate, Commercial, Retail & Private Banking
Job Description

Our Clients : 

 

Leading banks in the market, with business across corporate / commercial banks, retail / consumer banks, private banks and investment banks, have well-established banking platforms and extensive clients networks, currently looking for high caliber professionals for the following job positions. 

 

Job Description (1)  Head of General Compliance (Wealth Management)

 

Responsibilities :

  • Ensure that the Bank is in compliance with external rules and regulations and internal policies and procedures, particularly in the areas of investment, wealth management products and insurance services.
  • Provide advisory support on compliance matters relating to wealth management products and services.
  • Work with the relevant parties to analyze the potential impact of regulatory trends and developments to ensure compliance with any new regulatory changes with respect to wealth management businesses.
  • Review customer communication materials/correspondence with regulatory bodies regarding wealth management businesses.
  • Conduct monitoring of staff personal dealing account activities.
  • Work with the General Compliance (Corporate, Commercial & Retail Banking) team to ensure that all the necessary wealth management compliance related documentation is properly maintained and updated.
  • Provide training on wealth management compliance and promote compliance awareness among the associates.
  • Liaise with the local regulators on compliance matters relating to wealth management businesses.
  • Supervise the work of the wealth management compliance officers.

Requirement :

  • University degree in law or accountancy
  • Minimum 8 years of relevant experience
  • Good knowledge in banking and securities laws, rules and regulations and operations as well as different products and services offered by banks
  • Strong analytical, communication and interpersonal skills
  • Strong organization skill, business acumen and able to meet tight deadline

 

Job Description (2) Manager, Internal Audit (Banking / Financial Services)

Responsibilities :

  • Assess the risk & control environment in the business operations, and perform operational audits to ascertain the adequacy and effectiveness of risk management, internal controls and corporate governance of the Bank
  • Execute audit/review programs and assist in drafting reports
  • Identify control weaknesses / areas for system & business operational improvements
  • Perform assignments accordingly to requirements
  • Take up ad-hoc projects as required

Requirement : 

  • University degree in accounting, finance or related disciplines, with professional qualifications of HKICPA, ACCA or equivalent
  • Minimum of 4 years of audit experience, preferable with experience in banking industry
  • Knowledge/experience in auditing banking processes is preferred
  • Proficient in written and spoken English and Chinese
  • Good analytical, communication and report writing skills
  • Independent, able to work under pressure and meet tight deadlines
  • Understand and act as client relation manager with internal clients, be able to escalate issues and keep managers and peers well informed on on-going basis
  • Attentive to details, diligent and proactive

 

Job Description (3) VP / AVP / Sr. Manager/Manager, Compliance Assurance

Responsibilities :

  • Ensure that the bank is compliant with the external rules and regulations as well as internal policies and procedures.
  • Assist in updating compliance review plan and testing programme, designing testing steps and performing testing of controls.
  • Conduct compliance reviews on an on-going basis and ensure adherence to regulatory requirements and internal policies.
  • Coordinate / perform regulatory self-assessments, inspections and investigations.
  • Investigate non-compliance incidents/ exceptions and report investigation findings and make recommendations to management.
  • Handle ad-hoc head office requests and/or reporting requirements.
  • Prepare compliance reports on a regular basis for management review.
  • Provide coaching to team members.

Requirement :

  • University degree in accounting, finance, legal or related disciplines
  • A minimum of 8 years’ experience in audit, compliance or risk management in banking and financial services industry
  • Knowledge/experience in reviewing IT processes in banking industry is preferred
  • Familiar with HKMA and SFC regulations
  • Proficient in written and spoken English and Chinese
  • Good analytical, communication and report writing skills
  • Independent, able to work under pressure and meet tight deadlines  
  • Understand and act as client relation manager with internal clients, be able to escalate issues and keep managers and peers well informed on an ongoing basis
  • Attentive to details, compliance and control oriented, diligent and proactive

 

Job Description (4) AVP / Sr. Manager / Manager, Compliance (General Compliance)

Responsibilities :  

  • Ensure that the bank is compliant with the external rules and regulations and internal policies and procedures.
  • Ensure advisory support on corporate, commercial and retail banking compliance and general compliance issues is provided to the business and management as well as to ensure compliance manuals and policies are properly maintained and updated.
  • Provide coaching to team members.
  • Work with the relevant parties to analyze the potential impact of regulatory trends and developments to ensure compliance with any new regulatory changes with respect to corporate, commercial and retail banking businesses.
  • Work with group compliance to keep abreast of and adhere to the updated group policies and requirements.
  • Handle compliance-related head office requests and/or reporting requirements.
  • Handle ad hoc projects as may from time to time be assigned by the Team/Division Head.
  • Prepare compliance reports for senior management review.
  • Review customer communication materials/correspondence with regulatory bodies regarding corporate, commercial and retail banking businesses and general compliance matters.
  • Provide training to and promote compliance awareness among the associates.
  • Liaise with the local regulators on compliance matters and regulatory examinations relating to corporate, commercial and retail banking businesses. 

Requirement : 

  • University degree in law or accountancy or related discipline.
  • Minimum 5 years of relevant experience.
  • Possess knowledge in banking laws and operations as well as the different products and services offered by the bank.
  • Self-motivated, independent with strong analytical abilities and good judgment.
  • Good planning, interpersonal and communication skills to work with internal parties.
  • People-oriented and team player. 

 

Job Description (5) : Senior VP/VP, Senior Manager / Manager - Compliance 

                                    (Corporate/Commercial & Retail Banking)

Responsibilities :

  • Ensure that the bank is complied with the external rules and regulations and internal policies and procedures.
  • Ensure advisory support on corporate banking / commercial banking, retail banking compliance and general compliance issues is provided to the business and management as well as to ensure compliance manuals and policies are properly maintained and updated. 
  • Provide coaching to team members
  • Work with the relevant parties to analyze the potential impact of regulatory trends and developments to ensure compliance with any new regulatory changes with respect to corporate banking / commercial banking / retail banking business. 
  • Work with group compliance to keep abreast of and adhere to the updated group policies and requirements.
  • Handle compliance-related requests and issues as well as reporting requirements.
  • Handle ad hoc projects as may from time to time be assigned by the Team/Division Head and Sr. Management
  • Prepare compliance reports for senior management review.
  • Review customer communication materials/correspondence with regulatory bodies regarding corporate banking, commercial banking and retail banking businesses and general compliance matters.
  • Provide training to and promote compliance awareness among the associates.
  • Liaise with the local regulators on compliance matters and regulatory examinations relating to corporate banking / commercial banking /  retail banking businesses.

Requirement :

  • University degree in law or accountancy or related discipline
  • Minimum 10 years of relevant experience
  • Require wide range of knowledge in banking laws and operations as well as the different products and services offered by the bank
  • Self-motivated, independent with strong analytical abilities and good judgment
  • Good planning, interpersonal and communication skills to work with internal parties
  • People-oriented and team player

 

Job Description (6) : Sr. VP/VP, Sr Manager / Manager - Compliance (Private Banking)

Responsibilities :

  • Advise private banking business on compliance issues and undertake investigation into any suspicious transactions
  • Monitor and provide guidance to the business on regulatory requirements
  • Advise and review KYC process
  • Update and maintain relevant policies, procedures and guidelines
  • Red-flag regulatory risk to key managers in Private Banking
  • Conduct in-house compliance training
  • Co-ordinate/work with other compliance teams to respond to any enquiries from regulatory authorities including HKMA and SFC
  • Conduct compliance monitoring reviews

Requirements:

  • University graduate in a related discipline with minimum 8 years of experience in Private Banking compliance with major banks
  • Sound knowledge of banking ordinance, SFO, and regulations/guidelines issued by the HKMA and SFC including AML requirements
  • In-depth knowledge in private banking products & services as well as banking operation and business processes
  • Work experience with Regulatory Agencies is a preference
  • Effective communication and presentation skills
  • Strong analytical, problem solving skills with a proactive personality
  • Good command in both written and spoken English and Chinese

 

Job Description (7) : Senior Manager - Compliance (AML)

 

Responsibilities :

  • Formulate and update AML/CTF policies to reflect latest regulatory requirements and market best practice.
  • Provide AML/CTF advice to group-wide business and support functions.
  • Ensure that all assigned AML/CTF policy and system implementation projects are completed satisfactorily in a timely manner.
  • Provide and/or assist in the provision of AML/ CTF training when necessary
  • Review EDD/ KYC documents submitted by business/ branches
  • Review/ comment on bank policies & procedures from AML perspective
  • Perform ad hoc tasks as assigned from time to time

Requirement :

  • Degree or professional qualification in law; banking and finance; accounting or related field.
  • At least 5 years experience in AML/CTF compliance; audit; banking operations; internal control; or regulatory work in financial services industry is preferred.
  • Excellent interpersonal communication and presentation skills.
  • Independent and with good analytical mind

 

Job Description (8) : Sr. Manager / Manager - Products Compliance (Banking)

 

Responsibilities

  • Provide compliance advice to business units on various matters including product launch or enhancement, sale and marketing materials, training materials (such as : Treasury Product Compliance, etc.)
  • Liaise with local regulators regarding queries and licensing matters
  • Conduct compliance reviews and surveillance monitoring
  • Communicate with business compliance units if necessary
  • Help review and maintain relevant compliance manuals
  • Assist in training to promote compliance awareness
  • Assist in other ad hoc tasks as required

Requirement :

  • Degree or above with major in Law, Banking and/or Finance, Accounting, or related disciplines, or with related professional qualifications
  • Command of oral and written English and Chinese (Mandarin preferable)
  • Familiar with regulatory requirements in Hong Kong on investment and/or insurance products
  • Sound knowledge of common investment and insurance products in Hong Kong
  • At least 5 years of working experience in a compliance, legal or regulatory fields of financial services industry gained in Hong Kong regulatory environment
  • Good interpersonal, managerial, communication skills and cultural awareness
  • Effective time and project management skills
  • Ability to work independently and under pressure

 

To apply, please email your updated resume with current and expected salary (in MS Word Format) to (please mention which job position you would like to apply). 

 

Personal information collected for recruitment purpose.

 

 

Additional Information
Career Level
Senior
Qualification
Degree
Years of Experience
5 years
Employment Type
Full Time
Company details

CORPORATE - Talents Search

 

We are the Professional Executive Search Company, aim on search & select talents for our clients from multinational companies.

We provide manpower, staffing and recruitment solutions and consultancy services to our clients for permanent, contract and temporary positions placement in full time, contract and part time.

We also provide career development consultancy to professional talents from various fields and industries.