Assistant Vice President

2 months ago

Hong Kong, Central and Western District, Hong Kong SAR China SMBC Group Full time

**Job Summary**

We are seeking a highly skilled and experienced Compliance Risk Manager to join our team at SMBC Group. As a key member of our compliance team, you will be responsible for conducting effective and objective compliance monitoring activities, identifying potential or actual regulatory risks, and proposing recommendations to mitigate these risks.

**Key Responsibilities**

  • Conduct thorough and risk-based compliance monitoring activities in accordance with our Compliance Monitoring Plan.
  • Identify potential or actual regulatory risks and propose recommendations to mitigate these risks to relevant stakeholders.
  • Conduct compliance reviews in accordance with the plan and upon request by the Manager, Local Compliance Officer, or Regional Chief Compliance Officer.
  • Review and assess the adequacy and effectiveness of our compliance risk control framework, identifying key deficiencies and providing recommendations for mitigating actions.
  • Follow up with stakeholders on the implementation of agreed actions after compliance reviews.
  • Prepare regular and ad hoc reports for the Manager and Regional Chief Compliance Officer for review and submission to Branch management, Regional, and Head Office.
  • Assist in ad hoc compliance-related reviews or investigations and carry out other duties as instructed by the Manager or Regional Chief Compliance Officer.
  • Escalate key issues, including matters with regulatory concerns, to the Manager and Regional Chief Compliance Officer in a timely manner.

**Requirements**

  • University graduate, preferably with professional qualifications such as CPA.
  • 8 years' relevant experience in legal and compliance, operational risk management, risk controls function, and/or internal audit.
  • Sound knowledge of laws and regulations applicable to the banking industry.
  • Good team player with strong interpersonal skills.
  • Good command of written and spoken English and Chinese.
  • Independent, self-motivated, and able to work under pressure.

**Work Location:** Quarry Bay

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