Job Description
Responsibilities:
- Perform scheduled branch visits
- Carry out the compliance monitoring programs on high-risk operations
- To perform compliance review / self-assessment on selected operations
- Provide recommendations on compliance issues and findings being identified
- Prepare management report on branch visit and compliance review/ monitoring
- Assist in planning, developing and designing the compliance monitoring programs, compliance review and self-assessment
- Participate in compliance training activities
Requirements:
- University graduate or relevant professional qualifications, such as AHKIB, CPA, etc.
- Over 3 years’ working experience in the financial services industry with compliance / audit / risk management / internal control experience
- Good knowledge of requirements from HKMA / SFC / PCPD
- Efficient and effective team player with initiative and who is able to work independently
- Able to make judgment and liaise effectively with business and supporting units
Candidates with more experience can be considered as “Senior Compliance Manager”