Lead/ coordinate and conduct compliance review on local and overseas operations of the Bank and its subsidiaries through interviews, document inspection and on-site visits etc. so as to ensure compliance with internal policies/guidelines as well as external regulatory requirements/ expectations
Review at least regularly the risk-based compliance review program of the Bank as well as develop/ enhance individual compliance review programs for new or existing compliance reviews
Proactively identify, assess, report and mitigate the compliance risks of local and overseas operations
Provide practical recommendations for internal units under review to address the compliance review findings identified
Review/ prepare compliance review reports
Track implementation status of rectifications agreed by reviewed units through completion
Report compliance review results of the Bank and its subsidiaries to senior management on regular basis
Co-ordinate and prepare materials for reporting in the meetings of various Board/ management-level committees
Handle enquiries from auditors and regulators
Degree holder in Business Administration, Accounting, Risk Management, Law or related disciplines
Minimum 5 to 8 years of experience in areas related to Audit, Compliance or Control functions, with general understanding of Credit operations
Well versed in Hong Kong banking regulatory requirements, with general understanding of relevant banking regulations in the Mainland China, the United States and the United Kingdom
Good understanding of compliance review and/or audit standard and methodology
Good report writing, analytical and interpersonal skills
Responsible, detailed-mind, well-organized with good communication skills
Occasional travel to overseas countries required
Attractive remuneration package will be offered to the right candidates. Interested parties please send your full resume with current and expected salary to the Human Resources Division[via CTgoodjobs Apply Now ] or by post to G.P.O. Box 139, Hong Kong.
All personal data collected will be used for recruitment related purposes strictly in accordance with the Bank's personal data policies, a copy of which will be provided immediately upon request by contacting our Personal Data Compliance Officer. Applicants who are not contacted within two months may consider their applications unsuccessful and the personal data collected from the applicants will be retained for no longer than two years from the date of rejection during which the applicants may be considered for other suitable positions within the Bank.
Incorporated in November 1950, Shanghai Commercial Bank Ltd. is one of the most well known local Chinese banks in Hong Kong. At present, there are more than 40 local and overseas branches. The Bank has always been pursuing the motto of its founder, Mr. Kwang-pu Chen, to 'Serve the Community'. The Bank's slogan of 'For Personalized Service' and 'All in a Family' denotes the Bank's devotion to providing personalized services to its clients and promoting a harmonious relationship among its staff members.