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Manager, Compliance (BB-94CAB)

Found in: Neuvoo HK

Description:

Reporting directly to the Head of Compliance Review in performing compliance assessment and review, and propose professing recommendations according to regulatory requirements and group policies.

Responsibilities

  • Conduct independent compliance reviews and assessments to ensure the effectiveness and robustness of policies and controls.
  • Review internal policies, procedures and guidelines to ascertain compliance with the regulatory requirements.
  • Provide recommendations on compliance issues and findings identified; monitor the implementation progress aligning with the recommendations.
  • Compile management reports on compliance findings identified regarding compliance monitoring, external examination, self-assessment, etc.
  • Handle enquiries from auditors and regulators in professional manner.
  • Assist in ad hoc requests and projects as assigned.

To meet the challenge, you should have the following qualifications and attributes:

  • Minimum 5 years of experience in financial services preferably with compliance monitoring and testing or audit experiences in banking industry
  • University graduate in Business Administration, Accounting, Finance, Economics, Law or related disciplines
  • Possession of legal or accountancy professional qualification an advantage
  • Good command of both written and spoken English and Chinese
  • Good PC knowledge
  • Strong conceptual, analytical, good interpersonal, written and presentation skills

Candidates with less experience will also be considered

Please note that only shortlisted candidates will be notified.

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