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Manager, Business Compliance and Operation Risks Manager (Operation Risks, Private Banking)

职位编号: 499151
聘用性质: 全职
部门: 私人银行
工作类别: 质量监控, 风险管理

Responsibilities

  • Act as first line of defense to review and advise business on control matters, conduct transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible compliance/operational risks/breaches, prepare management report(s) and provide recommendations to mitigate relevant risks
  • Assess product due diligence request raised by business
  • Coordinate BCP; perform UAT for system changes
  • Implement and review the risk control mechanisms (e.g KRIs) and risk monitoring requirements on the private banking business
  • Work on regulatory survey(s); conduct annual risk and control assessment to ensure relevant risks are identified with proper control being laid down
  • Review policies & procedures, risk assessment materials submitted by various units and to analyze the compliance/operation risks in new businesses / products / 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 weaknesses
  • Perform self-assessment, gap analysis against internal and/or regulatory requirements
  • Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business
  • Investigate operational risk incidents, recommend appropriate enhancement and monitor implementation status of action plan(s)
  • Perform regular and ad hoc monitoring / self-assessment on relevant business activities and prepare management reports on compliance and operation risk related review results
  • Coordinate internal / external review or audit
  • Provide staff training where required
  • Assist on other ad hoc tasks as assigned

 

Requirements

  • Degree or above   
  • At least 5 years banking experience, with Operational Risk Management experience in banking sector.  With relevant private banking background is an advantage. 
  • Good analytical, time management and interpersonal skills, with ability to prioritize tasks.
  • Proficient in written, spoken English and Chinese
  • Familiar with HKMA / SFC regulatory requirements

 

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