Risk Management and Compliance Professional

2 days ago

Hong Kong, Central and Western District, Hong Kong SAR China Bank of China Full time

Job Overview

This role is a key position within the Bank of China, focused on ensuring effective operational risk management and compliance in Private Banking.

Estimated Salary Range: HKD 550,000 - 650,000 per annum

Job Description:

We are seeking an experienced Risk Management and Compliance Professional to join our team. As Manager, Business Compliance and Operation Risks Manager, you will be responsible for reviewing and advising business on control matters, conducting transaction monitoring and business review to ensure adherence to internal/external requirements, identifying possible compliance/operational risks/breaches, preparing management reports and providing recommendations to mitigate relevant risks.

You will assess product due diligence requests raised by business, coordinate Business Continuity Plans (BCP) and perform User Acceptance Testing (UAT) for system changes. Additionally, you will implement and review risk control mechanisms (e.g., Key Risk Indicators) and risk monitoring requirements on private banking business, work on regulatory surveys, conduct annual risk and control assessments, and review policies & procedures and analyze compliance/operation risks in new businesses/products/systems.

Key Responsibilities Include:

  • Act as first line of defense to review and advise business on control matters, conduct transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible compliance/operational risks/breaches, prepare management report(s) and provide recommendations to mitigate relevant risks.
  • Assess product due diligence request raised by business.
  • Coordinate BCP; perform UAT for system changes.
  • Implement and review the risk control mechanisms (e.g KRIs) and risk monitoring requirements on the private banking business.
  • Work on regulatory survey(s); conduct annual risk and control assessment to ensure relevant risks are identified with proper control being laid down.
  • Review policies & procedures, risk assessment materials submitted by various units and analyze the compliance/operation risks in new businesses/products/systems.
  • Conduct trade surveillance, daily report monitoring and other regular transaction and work flow monitoring to identify possible compliance/operational risks and provide recommendations to enhance control weaknesses.
  • Perform self-assessment, gap analysis against internal and/or regulatory requirements.
  • Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business.
  • Investigate operational risk incidents, recommend appropriate enhancement and monitor implementation status of action plan(s).
  • Perform regular and ad hoc monitoring/self-assessment on relevant business activities and prepare management reports on compliance and operation risk related review results.
  • Coordinate internal/external review or audit.
  • Provide staff training where required.
  • Assist on other ad hoc tasks as assigned.

Requirements

To succeed in this role, you should have:

  • Degree or above.
  • At least 5 years banking experience, with Operational Risk Management experience in banking sector. Relevant private banking background is an advantage.
  • Good analytical, time management and interpersonal skills, with ability to prioritize tasks.
  • Proficient in written and spoken English and Chinese.
  • Familiar with HKMA/SFC regulatory requirements.

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