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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