Senior Manager – Retail Risk & Compliance Control

(Ref No. HKJC-155-2223-2018)

Our client is a leading Hong Kong based financial services group listed on The Stock Exchange of Hong Kong, serving the needs of customers throughout Greater China and beyond, with the operation one of the largest branch networks in Hong Kong.  She is dedicated to providing comprehensive corporate banking, personal banking, wealth management, and investment services to its customers in Hong Kong, Mainland China, and other major markets around the world.  She is looking for a Senior Manager – Retail Risk & Compliance Control in Retail Banking Division.

Responsibilities

  • To oversee the section to ensure compliance with regulations and standards relating to retail banking operations in particular code of banking practice, selling of investment and insurance products via online and branch channels
  • To design and implement control measures to monitor the adherence of compliance standards by the business units
  • To work with second line of defense and front line in smooth implementation of compliance initiatives
  • To oversee operations of the section and allocate adequate resources to the team
  • To handle enquiries from law enforcement agents and HKMA in relation to Compliance matters

Requirements

  • University graduates with a minimum of 10 years’ working experience in the banking industry with sound knowledge and exposure in Code of Banking Practice, Privacy and compliance in relation to selling of investment and insurance products
  • A confident, efficient and effective team leader
  • Able to exercise judgment, work under pressure and motivate subordinates
  • Excellent command in both written and spoken English and Chinese
  • Proficient in MS Office

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