Job ref no.: CT3118690-01#6317

Compliance & Control Manager (Investment/Insurance/AML/Operation/Securities)

Conners Consulting Limited

  • 5-day week
  • Discretionary bonus
  • Insurance plan
  • Medical plan

Our client, a well-known bank in Hong Kong, is looking for a high caliber to join the group.




  • Responsible for supervising the team in meeting the control framework of Retail Banking Division and ensuring sales and service quality assurance in areas of regulatory, compliance and internal control are met.
  • Develop business and operational guidelines in consultation with various Retail Banking Division business, front line departments or other divisions to ensure Retail Banking Division sales and delivery compliance with regulatory guidelines, compliance requirements and internal control policies
  • Supervise and support Retail Banking Division business and front line departments to perform the control duties
  • Assist in the development of procedure manuals for detailed tasks or operations
  • Ensure tracking and resolution of operational incidents and internal control findings or issues are properly and timely followed up
  • Establish monitoring framework to ensure quality of operational and internal control is maintained at Group’s recognized standard and able to identify inherent risks on an on-going basis
  • Ensure relevant risk and control MIS reports are timely reviewed and suspicion/incidents timely reported
  • Ensure proper record mechanism is in place for Retail Banking Division business and front line departments to demonstrate compliance with regulatory guidelines and our control policies or guidelines
  • Arrange training on risk control or compliance awareness and operational and AML control for Retail Banking Division staff as appropriate



  • Degree holder
  • Around 8 years of solid experience in retail banking operations with in-depth knowledge of risk and control framework
  • Extensive experience in managing risk in collaboration with other risk control functions
  • Presentable and with strong communication and problem solving skills
  • Excellent command in both written and spoken English and Chinese


To apply, please send your detailed resume by clicking Apply Now or contact at Carmen 3955 1358 for a confidential discussion.

Only shortlisted candidates will be notified. 

Applicants who are not contacted within two weeks may consider their applications unsuccessful.

All data collected will be used for recruitment purpose only & will be used strictly confidential.


Conners Consulting Limited 2005 Kai Tak Commercial Building 317 Des Voeux Road Central Hong Kong

Tel: (852) 3996 8090        



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More job information
Job ref no. CT3118690-01#6317
  • N/A
Job Function
Employment Term
  • Full-time
  • 8 years
Career Level
  • Non-management level
  • Degree