Compliance Manager, Asia-Pacific Business Department
Industrial and Commercial Bank of China (Asia) Limited
Hong Kong, Hong Kong
5天前

Job Responsibilities

  • Perform AML, CDD & Internal Control Reviews and inspections, conduct risk based on-site or off-site interviews and inspections to assess the effectiveness of internal control framework
  • Perform / review the risk assessment of new and existing customers
  • Identify, inspect, and report internal control weaknesses and recommend corrective actions or enhancements for implementation, monitor and evaluate the effectiveness and efficiency of the remediation implemented
  • Promote and monitor the effective implementation of external regulatory rules and the Bank's internal policies and procedures
  • Perform gap analysis to fulfill regulatory requirements, formulate and improve the department's operation manual and operating procedures
  • Timely report non-compliance risk incidents to the Compliance and Legal Department of the Bank
  • Cooperate with regulatory authorities and the Bank to carry out internal and external inspections
  • Carry out compliance risk monitoring of various products, businesses and management activities. Conduct self-checking for the departments' business activities and operation processes
  • Organize and provide training, guidance and operation procedures to the Department
  • Identify and determine the compliance risk points and compliance risk data indicators of the department. Perform key risk assessment of the department
  • Job Requirements

  • University graduate
  • 5 years or more of corporate banking or legal and compliance department experience
  • Familiar with regulatory requirements including but not limited to the HKMA, SFC and PRC related guidelines
  • Relevant Individuals of RA Type 1 and 4 is highly preferred
  • A good command of written and spoken English, Cantonese and Mandarin
  • Familiar with corporate banking's operation procedures and customer due diligence is preferred
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