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Our client, a renowned private bank, is currently seeking a high caliber professional to join the team as Senior Associate to support their Compliance Testing team.
Conduct compliance testing and regulatory risk assessments on Business Units (suitability and selling process, AML and investment) to ensure end to end processes are in compliance with regulatory requirements
Design, develop and execute testing in accordance with the independent regulatory policy and the Bank procedures in a timely manner
Plan and make recommendations with stakeholders to strengthen internal control measures and remediate deficiencies
Report findings and provide recommendations to lines of business and management across the bank
Maintain broad knowledge of business and relevant regulatory framework in which the Bank operates
Drive and evolve Compliance department standards and procedures, so that they remain fit for purpose, are responsive to business requirements and are subject to ongoing assessment.
Maintain relationships with stakeholders to keep abreast of current business developments and other issues that may impact the regulatory risk environment
Qualifications & Requirements
University graduated in Business Administration, Finance or Accounting
5 years or above working experience in Compliance, preferably in private banking industry
Strong risk management experience, problem analysis and judgment, independence, persuasiveness
Strong knowledge of HKMA/ SFC regulatory requirements
Experienced in internal audit, investment suitability and selling process is preferable
Independent, self-motivated, and detail-oriented
Strong report writing and communication skills
Fluency in spoken and written English and Chinese (both Cantonese and Mandarin)
Internal Number: 6499314
About ConnectedGroup Limited
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