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Eames Consulting Hong Kong, EA Licence No: 16S8091
February 9, 2018
Monitoring & Testing is a dedicated function within Compliance designed to proactively assess and report on areas of potential regulatory and reputational risks through risk based desk and thematic reviews over the businesses of the Firm.
This role seeks individuals who are data savvy and have technical data analytics skills who can drive testings. To this end, Monitoring & Testing will primarily be responsible for evaluating conformance by the business in the region with the Firms policies and procedures, in accordance with relevant regulatory expectations.
Key Accountabilities -
Applying data analysis techniques and analytics tools to conduct testing with the aim to improve accuracy and efficiency;
Validate compliance against established policies and procedures and applicable regulations;
Develop recommendations for corrective action based on review findings;
Work with advisory compliance colleagues and management to agree on appropriate action plans;
Present and report review results to Business and Compliance Management ;
Satisfy standards for delivering high quality value added monitoring & testing reviews;
Provide guidance on compliance and supervisory findings related to review area;
Anticipate and provide solutions to complex issues;
Have a broad knowledge of the Firms business and regulatory framework in which it operates;
Liaise with product advisory compliance colleagues and management to keep abreast of current business developments and regulatory issues that may impact the risk environment of the Firm;
Provide oversight on the monitoring & testing reviews led by the M&T team based in HK and manage the HK team.
Essential Skills -
Bachelor Degree or equivalent.
Strong data analytics experience/Skills (SQL, Tableau, Spotfire) is required
The candidate must be, detail-oriented, organised, articulate, willing to take responsibility, and comfortable speaking and responding to concerns and questions regarding review work.
Adaptable and embrace change as the team evolves to stay relevant to business changes and needs.
Self motivated, proactive and able to manage multiple priorities.
Track record of execution and delivery.
Desirable Skills -
In depth knowledge of Investment Banking business, including Markets or Banking products, preferably with a global investment bank.
Understanding of the regulatory framework and expectations driving the Compliance risks faced by the business.