Job ref no.: CT3119652-01#0586

Compliance Advisory and Controls - Top Tier Investment Bank

Robert Walters

Objective of the role-: Provide compliance support across the various departments of the bank with a key focus on compliance policies and controls.

Key Accountabilities-:
  • Advise the various banking departments on compliance policies and controls.
  • Work with front line and control teams, providing compliance advisory on regulatory policies and procedures to be followed.
  • Collaborate with the global compliance control counterparts to ensure an efficient compliance program is in place.
  • Undertake periodic product and thematic compliance reviews across the various functions and departments of the bank, ensuring effective compliance controls are in place.
  • Develop strong and productive working relationships with senior Front Office management to ensure they understand their compliance accountabilities and that they have controls and processes in place to manage the compliance risk.
  • Collaborate and drive a strong compliance culture across the respective control units.
  • Prepare and train the departments units on compliance.
  • Challenge the operational risk and control self-assessments performed by Business Units.
  • Work with the Risk & Control teams in providing opinions and views from a compliance standpoint on the banking business the front office.

  • Undergraduate degree or relevant business experience.
  • Experience of working in a Compliance/Risk/Control environment within an Investment Bank.
  • Good experience and understanding of front office product.
  • Strong communication abilities with well-developed report writing skills and presentational skills.
  • Understanding of the relevant regulatory requirements and changes that could impact the banking business.
  • Thorough knowledge of relevant PC packages, e.g. Word, Power Point & Excel.
  • Mandarin and / or Cantonese Language Capabilities.

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