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Charterhouse Partnership Hong Kong, EA Licence No: 16S8066
April 27, 2021
Identify and rectify internal breaches/control weakness through ongoing review/monitoring of the control framework from group and local regulatory requirement perspective;
Conduct regular reviews and surveillance on Compliance and controls framework, which cover the following and not limited to - investment selling practice (suitability), product due diligence, general compliance, ad-hoc thematic reviews;
Prepare documentation to report and escalate any issues and exceptions for managerial review; recommend the mitigation actions where needed;
Capture and analyze data and identify trends in assessing regulatory compliance risks and advise stakeholders in developing effective controls
Assist in the preparation and submission of compliance/regulatory reports for management, regulators, auditors etc;
Assist in audits and inspections, and investigations where required;
Involve in special work projects and other Compliance team work matters as and when required
5 - 7 years of relevant experience in monitoring and testing, general compliance in private banking
Good interpersonal communication and writing skills, team player
Able to identify control weakness, and provide recommendation for business action;
Motivated and self-driven; able to handle issues and resolve challenges in collaboration with different stakeholders;
Fluent English and Chinese language skills
If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, firstname.lastname@example.org Web: www.charterhouse.com.hk
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