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Proactively drive the identification, assessment, measurement, mitigation and monitoring of operational risk in the assigned areas.
Partner with the Personal & Business Banking Group management team to continually conduct root cause analysis and benchmarking to improve control processes and business operating models.
Produce an annual internal control plan; including regular/ad-hoc/thematic testing.
Direct the team to conduct review and assessment to validate the control effectiveness and evaluate their operation healthiness, risk, compliance, and control level.
Review Risk and Control Self-Assessment (RCSA) to identify key operational risks and effective mitigation actions/ measures.
Understand the relevancy and meaning of regulatory requirements, bank policies, guidelines and procedures (e.g. HKMA guideline, code of conduct, internal control, risk management, etc.) to ensure procedures, guidelines and practices are in place to comply with these policies.
Lead investigations into incidents and customer complaints to understand root causes and thereby devise effective corrective and preventive measures.
Assess and propose appropriate staff disciplinary actions upon complaints, violation of internal or external regulations and compliance, integrity and misbehavioral matters.
Report timely any unusual transaction / activity suspicious of money laundering to Compliance Department; and malpractice/ irregularity identified to supervisor. Maintain appropriate and orderly records and providing information to facilitate management reporting and analysis.
Promote risks and control awareness through working with various training teams in the bank to develop or modify training contents and approaches to enhance compliance and control quality. When appropriate, be the trainer.
Assist the department head to monitor operational loss, KRIs, KPI related to risk and regulatory compliance and timely completion of all kinds of reviews.
Degree holder in Business Administration, Accounting or related discipline.
Minimum 10 years of experience in personal / private banking operations or compliance or controls and operational risk functions preferable.
In-depth knowledge of retail banking/ private banking and business banking.
Good understanding and knowledge of operational risk and internal control principles; ability to assess risk trends.
Thorough understanding of regulatory / risk framework under HKMA and Basel.
Ability to drive business risk and control management within the first line of defense, implement control frameworks and obtain stakeholders
Self-driven, independent and analytical.
High project management capabilities.
Excellent interpersonal and influencing skills with experience in managing difficult and sensitive customer / complaint issues.
Good command of written and spoken English and Chinese.