AVP Compliance Department-Compliance Assurance

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Assistant Vice President -

Compliance Department Hong Kong - Compliance Assurance

Job Duties & Responsibilities :

• Conduct effective, objective, risk-based compliance monitoring activities pursuant to the annual Compliance Monitoring Plan.
• Identify potential or actual regulatory risks arising from the results of compliance monitoring and proposing recommendations to the relevant stakeholders in order to mitigate the identified risks.
• Conduct compliance review in accordance with the plan, and upon request by the Manager, Local Compliance Officer (“LCO”).
• Review and assess the adequacy and effectiveness of the Bank’s compliance risk control framework. Identify key deficiencies, assess the implications, and provide recommendations to the relevant stakeholders on mitigating actions.
• Follow up with relevant stakeholders on the implementation of agreed actions after the compliance reviews.
• Upon request, follow up on the management actions arising from Internal Audit reviews or regulatory examinations, where appropriate.
• Prepare regular and ad hoc reports for the Manager to review for submission to Branch management, Regional and Head Office.
• Assist in ad hoc compliance related review or investigation / carry out any other duties as instructed by the Manager.
• Escalate key issues, including matters with regulatory concerns to the Manager on a timely basis.

Requirements :

avP

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