You are visiting this website from:
View All Jobs

AVP, Compliance Review and Testing

Job Seekers Hong Kong SAR China Compliance Financial Services - Banking, Financial Services - Private Banking

Job Summary

  • Hong Kong Island
  • Contract
  • BBBH775269
  • Feb 19, 2021
  • Competitive
Job Description

My client is a global bank with strong presence in Hong Kong/ APAC. Due to increased business needs, they are urgently looking for an AVP to support Compliance Review and Testing QA program

Responsibilities:

  • Perform level 2 quality assurance program on key compliance topics in accordance with the compliance manual including regulatory disclosures at transactions, churning, market abuse, and other areas, as required.
  • Conduct compliane reviews such as reviewing samples and indentifying issues
  • Supervise junior staff who assist in the QA program
  • Liaise with relevant key stakeholders to collect all necessary information for reviews
  • Engage in ad hoc projects

Requirements:

  • Immediately available
  • At least 5 years experience in the private banking/ wealth management, in an internal control/auditing/testing function
  • Familiar with reviews/testing processes; good knowledge banking/securities regulations are a plus.
  • Good communication and interpersonal skills with ability to work as a good team player.
  • Strong commitment to finish the assigned tasks.

broadbean-tracking

Consultant Details

Consultant Details

Ivy Kwan
Ivy Kwan
  • Director | Contracting Recruitment
  • +852 3907 3916
  • ikwan@morganmckinley.com