Responsibilities:

• Conduct regular operations risk management and compliance monitoring program on risky areas to ensure the business processes are in accordance with SFO regulatory requirements and policies of the Bank.
• Provide a pro-active advisory and consultative service to the business on operational risk management, compliance and regulatory issues.
• Analyze potential risks of non-compliance and identify areas for  improvement, thus to work out remedial measure and make recommendations accordingly.
• Monitor the implementation of rectifications and enhancement measures in relation to operations risk management and compliance issues.

• Formulate,evaluate, and roll-out the adequacy of control procedures, make recommendations for improvement and constantly monitor  High risk areas.
• Assist the business in reviewing policies and procedures, and code control documents that meet local regulatory and Bank requirements.
• Conduct training to staff for promoting risk management and compliance awareness.

Requirements:

• Degree or above with major in Banking, Accounting, Finance, Law, or related disciplines
• At least 7 years solid experience in control management of financial markets operation , of which specialized in operational risk management or relevant experience in internal control or auditing
• An understanding of Asset Management businesses, products and client services preferable
• Self-motivated, strong initiative, and attention to details
• Effective time and project management skills
• Good interpersonal, managerial, communication skills and cultural awareness
• Good command of bother verbal and written English and Chinese.  Putonghua is preferable.

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