(Assistant - Senior) Manager, Business Compliance & Operation Risks (Compliance, Private Banking)

Responsibilities:

• Act as first line of defense to advise business on compliance and 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
• Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business
• Review marketing/product materials submitted by various units, and to analyze the compliance risks in new businesses / products / processes/ systems
• Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various internal and/or regulatory requirements. Recommend follow up action to close the gaps
• Prepare regular (monthly/quarterly/annually) and ad hoc internal reporting to senior management, second line of defense
• Assist to conduct training to promote compliance culture
• Assist to investigate customer complaints
• Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements; or any other tasks assigned by supervisor.

Requirements:

• Degree or above
• 3+ years working experience in banking and finance, at least 1 years in relevant private banking Compliance. Strong investment product knowledge is an advantage.
• Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks.
• Proficient in written, spoken English and Chinese
• Familiar with the regulatory requirements of private banking
• Seniority commensurate with relevant work experience