Our client, a large financial institution in Hong Kong is looking for a seasoned Team Lead for their Compliance Review team to lead a well established team. Reporting to the Head of Compliance, you should possess strong retail banking experience and extensive investment products knowledge (both regulatory and AML).
- Remuneration : HK$1.4M - to HK$1.7M base
Responsibilities of the role:
- To be the Team Head of the Compliance Review Department
- To carry out the compliance monitoring programmes on high-risk operations
- To perform scheduled branch visits, compliance reviews/ self-assessment on selected operations
- To prepare management report on branch visit and compliance review/ monitoring
- To provide recommendations on compliance issues and findings being identified
- To follow up the implementation of recommendations issued
- To supervise the performance of compliance reviews & branch visits and review the work done by Compliance Managers/ Assistant Compliance Managers
- To assist the Department Head in organizing and performing the compliance review initiatives
- To develop and design the compliance monitoring programmes/ compliance review/ self-assessment
Requirements of the role:
- University graduate OR relevant professional qualifications, such as AHKIB, CPA, etc.
- At least 10 years' working experience in the financial services industry with compliance / audit / risk management / internal control experience as well as in-depth knowledge of requirements from HKMA / SFC / PCPD
- Strong retail banking experience is a MUST
- Extensive knowledge in investment products (both regulatory and AML)
- Excellent presentation and report writing skills
- A confident, efficient and effective team player with initiative and who is able to work independently
If interested, please contact gina.hui@lmarecruitment.asia
Company Reg. No.: 201131609D: Licence No.: 11C4684 : EA Reg No: R2196467