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Senior /Business Compliance Manager

Job No.: 495643
Employment Type: Full time
Departments: Financial Markets Management
Job Functions: Compliance


  • 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.


  • 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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