Business Compliance Manager 54 views

Responsibilities
Ensure bank’s policies and procedures are in compliance with regulatory requirements
Manage and conduct compliance checking to monitor sales activities are in compliance with policies and procedures
Analyze potential risks of non-compliance and identify areas for improvement, thus to work out remedial measure and make recommendations accordingly
Monitor the implementation of rectifications and enhancement measures in relation to selling process and sales compliance issues
Establish, enhance, monitor and perform compliance controls over the Bank’s operations and business activities
Coordinate training to staff concerned on the knowledge and awareness of compliance with the relevant laws, rules and standards
Maintain and enhance an effective compliance infrastructure, such as feedback mechanism, to collect frontlines’ comments and recommendations, thus to improve the efficiency and effectiveness of sales compliance work
Requirements
Degree or above with major in Business, Accounting, Finance, Marketing, Law or related disciplines At least 5 years experience in financial or banking industries, of which at least 3 years specialized in compliance or audit works
Able to handle multi-tasks independently and work under strictly tight deadlines and pressure
Possess strong logical and analytical skills in problem solving
Excellent interpersonal and communications skills
Good command of both verbal and written English and Chinese

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