Senior Manager / Manager, Business Compliance & Control
Dah Sing Bank
Hong Kong, HK

Job Purpose :

To perform risk monitoring, assessment, rectification, and controlling tasks with the purpose of achieving compliance to various banking rules and regulations imposed by regulators while in the process, to improve operational efficiency of the Corporate Banking Division.

Main Responsibilities :

Work within the first line of defence alongside management to be accountable for managing operational risk of business activities in the first line of defence :

  • Assist management in maintaining oversight on key operational risks, controls and enhancement initiatives and ensure effective and efficient internal controls and practices are in place by working closely with Operational Risk Department to ensure that the Division complies with the relevant operational risk policies and procedures, as well as to report results and issues;
  • Identify compliance and internal control issues within business functions by developing operational risk control measures and conducting operational risk control self-assessments and assurance checking to assess the effectiveness of implementing the control activities within business functions where applicable;
  • Develop risk indicators, determine escalation triggers and conduct ongoing monitoring;
  • Manage and provide oversight of completion of follow-up and remedial actions (e.g. further investigation) relating to operational risk events identified during the operational risk assessment process.
  • Others :

  • Handle audit enquiries and follow through the audit comments.
  • Contribute to other ad hoc improvement projects for the division
  • Incumbent Requirements :

  • At least years of banking experience with not less than 8 years gained through job responsibilities that involved operational compliance related to corporate banking and process control;
  • Familiar with banking regulations and guidance issued by various related authorities and be able to apply in all the operating processes and products in CBD.
  • The regulations included but not limited to FATCA / CRS, the Supervisory Policy Manual stipulated by the HKMA, Code of Banking Practice, AMLO, and the related policy under the Securities and Futures Commission;
  • Proven experiences in improving existing control mechanism and increase efficiency process of banking tasks;
  • Familiar with KYC / CDD control mechanism and the requirement under AMLO;
  • Be able to analyze AML CFT risk of a wide variety of customer;
  • Solid understanding on frontline operation, business dynamics and credit control function;
  • Proven experience in credit risk oversight is definitely an advantage;
  • A team player with strong communication and presentation skills;
  • Excellent command of written and spoken English and Chinese
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