Bank of China (Hong Kong)

Senior Manager/ Manager/ Assistant Manager, Business Compliance (Private Banking)

Bank of China (Hong Kong)  •  Hong Kong, HK (Onsite)  •  19 days ago
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Job Description

Responsibilities:

  • Act as first line of defense to advise business on compliance and control matters, conduct transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible compliance/ operational risk/ breaches, prepare management report(s) and provide recommendations to mitigate relevant risks.
  • Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business.
  • Review marketing/ product materials submitted by various units, and to analyze the compliance risks in new business/ products/ processes/ system.
  • Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various internal and/or regulatory requirements. Recommend follow up action to close the gaps.
  • Prepare regular (monthly/quarterly/annually) and ad hoc internal reporting to senior management, second line of defense.
  • Assist to conduct training to promote compliance culture.
  • Assist to investigate customer complaints.
  • Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements; or any other tasks assigned by supervisor.

Requirements:

  • Degree or above.
  • 3+ years working experience in banking and finance, at least 1 year in relevant private banking Compliance. Strong investment product knowledge is an advantage.
  • Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks.
  • Proficient in written, spoken English and Chinese.
  • Familiar with regulatory requirements of private banking.
  • Seniority commensurate with relevant work experience.

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Bank of China (Hong Kong)

About Bank of China (Hong Kong)

Bank of China (Hong Kong) Limited (“BOCHK”) is a leading commercial banking group in Hong Kong with strong market positions in all major businesses. We have the most extensive local branch network and diverse service platforms in Hong Kong, including more than 190 branches, 280 automated banking centres, efficient e-channels of over 1,000 self-service machines, as well as Internet and Mobile Banking services. We offer a comprehensive range of financial, investment and wealth management services to personal, corporate and institutional customers. To implement the overseas development strategy of BOC Group, we strive to drive our regional development by expanding our business in the Southeast Asian region. Our branches and subsidiaries have been extended to Southeast Asian countries such as Thailand, Malaysia, Vietnam, the Philippines, Indonesia, Cambodia, Laos and Brunei, with the provision of professional and high-quality financial services to local customers. We will also expedite our development into a top-class, full- service and internationalised regional bank.

BOCHK is one of the three note-issuing banks and the sole clearing bank for Renminbi (“RMB”) business in Hong Kong. With our strong RMB franchise, we are the first choice of customers in this business.Through the deep collaboration with our parent bank, BOC, we provide a full range of high-quality crossborder services to multinationals, cross-border customers, mainland enterprises going global, central banks and super-sovereign organisations.

BOC Hong Kong (Holdings) Limited, BOCHK’s holding company, is one of the largest listed companies on the main board of the Stock Exchange of Hong Kong, with stock code “2388” and ADR OTC Symbol “BHKLY”.

Industry
Finance & Insurance
Company Size
1,001-5,000 employees
Headquarters
, HK
Year Founded
Unknown
Website
bochk.com
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