CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Business Compliance & Operation Risks Manager (Private Banking - Compliance)
Bank Of China (Hong Kong) Limited
September 25, 2019
Review KYC profiles, account opening and review documents
Review marketing materials, policies & procedures, risk assessment materials submitted by business units and to analyze the compliance implications in new businesses / products / systems
Conduct regular and ad hoc AML and compliance related review/monitoring to identify possible compliance risks and provide recommendations to enhance control or procedural weaknesses, mitigate non-compliance risks
Perform self-assessment, gap analysis against internal or regulatory requirements
Advise business units on product suitability requirements and other compliance related matters
Review customer complaints and monitor the implementation status of the action plans
Prepare regular and management reports on compliance related review results
Handle internal / external review or audit
Provide guidance to junior team members
Degree or above
Around 3-7 years relevant working experience in financial institutions, preferably at least 3 years in private banking. Working experience in KYC and/or Compliance areas an asset.
Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks.
Good command of both verbal and written English and Chinese.
Familiar with AML and regulatory requirements of HKMA/SFC