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Senior Manager, Business Compliance & Operation Risks (Private Banking)

On-site in Hong Kong·Full-time·Added 8 days ago (last checked 15 Oct)

BOC Hong Kong

244 open roles

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Overview

Work mode
On-site, Hong Kong
Contract
Full-time
Languages
Chinese
Experience
6+ years

Skills

Requirements

What we're looking for

  • 6+ years working experience in banking and finance, at least 2 years in relevant private banking AML Compliance.
  • Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks
  • Sound judgement on business practices, and strong compliance reflex.

The role

What you'll do

  • Act as first line of defense to conduct AML/Financial Crime/ Fraud risk related transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible AML/Financial Crime/ Fraud risks, prepare management report(s) and provide recommendations to mitigate relevant risks
  • Review KYC profiles, account opening / review documents
  • Conduct AML/Financial Crime/ Fraud risk related periodic and ad hoc monitoring/transaction review
  • Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business
  • Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various AML related internal and/or regulatory requirements. Recommend follow up action to close the gaps where applicable
  • Prepare regular (monthly/quarterly/annually) and ad hoc internal reporting to senior management, second line of defense
  • Conduct quality assurance tasks over the relevant procedures
  • Investigate unusual client’s activities
  • Conduct staff training to promote compliance culture
  • Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements
  • Assist on other ad hoc tasks as assigned
  • Lead a team to deliver the above responsibilities

Requirements

  • Degree or above
  • Proficient in written, spoken English AND Chinese
  • Familiar with HKMA/SFC regulatory requirements
  • Professional Accreditation such as Enhanced Competency Framework (ECF) under the Hong Kong Institute of Bankers (HKIB) would be an advantage.

About BOC Hong Kong

Industry
Banking
Website
bochk.com
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