Business Compliance Senior Manager

Job Title: Business Compliance Senior Manager
Contract Type: Permanent
Location: Hong Kong
Reference: JW-190320-2
Contact Name: Justin Wan
Contact Email:
Job Published: March 22, 2019 17:26

Job Description

Business Compliance Senior Manager (Private Banking)


Our client, a prestige bank, now is looking for a Business Compliance Senior Manager who will work in Private Banking department as below. 



• Coordinate and communicate with the PB Compliance Group, ensuring that OGCP policies, processes and procedures to comply with the Bank Compliance Polices and guidelines

• Monitor PB Compliance Controls are designed implemented and, in consultation with the 2"' Line of Defense Compliance team, aligned to Regulatory Requirements and the Enterprise Compliance Risk Appetite and Compliance Culture (i.e. testing)

• Conducting and validating PB Operating Group Regulatory Compliance Risk Assessments.

• Support in identifying, assessing the severity of, reporting and overseeing remediation of Compliance Issues currently impacting, or with the potential to impact, the effectiveness of the OGCP

• Follow up the result of PB Compliance Issue action plans.

• Identifying areas and methods for relying on existing control and assurance functions to streamline the Business Unit Compliance Program.

• Direct access to all operations within their assigned units, which includes access to all documents relevant for the effective execution of their compliance responsibilities (and escalating when disagreements arise)



• University degree with experience in a legal, audit, compliance or regulatory role

• Thorough understanding of Private Banking risk assessment, risk-control frameworks (e.g. COSO Internal Control) and internal control

• Good influencing skills and stakeholder relationship management skills; Advanced conflict management/ resolution skills with Project coordination experience

• Strong report-writing skills, with ability to create and organize varying forms of business information while developing it into cohesive, meaningful, professional reports and presentations

• Proficient in written and verbal communications, both English, Mandarin Chinese; Cantonese desirable


Interested candidates, please kindly send your detailed resume including:

1) Current and expected salary

2) Availability

3) Reason for leaving current and past employments

directly to: and