Compliance Monitoring and Testing Manager

Senior (6-10 years)

Technical Skills

  • Audit
  • Compliance
  • Customer Service
  • Risk Assessment
  • Risk Management

Job Description

Compliance Monitoring and Testing Manager

Compliance Monitoring and Testing Manager

Risk and Compliance

Hang Seng's Risk and Compliance ("RKM") strives to maintain a well-balanced risk profile for the Bank while enabling businesses to thrive. Our team actively manages a varied and dynamic range of risk types. We are dedicated to collaborate with businesses, other functional units and regulatory bodies to develop and implement robust and customized risk management frameworks and measures to maintain the strong market position of the Bank.

Compliance - providing proactive assistance in identifying, assessing and containing Compliance Risk; fostering a compliance culture; optimising relations with regulators; and preserving the Bank's reputation in the marketplace by ensuring that our policies comply with the spirit and letter of the laws and regulations wherever we do business.

We are currently seeking a high caliber professional to join our department as Compliance Monitoring and Testing Manager.

Principal responsibilities:
  • Conduct risk-based compliance reviews to test the adequacy of controls in place within Business/ Function, identify potential or actual breaches and ensure corrective actions
  • Track the status/ progress of corrective actions and prepare relevant MIs and reports for management
  • Manage the completion of compliance risk assessments to identify relevant risks, and prepare for annual testing plan
  • Conduct regular checking with respect to staff dealing rules as well as other dealing restrictions and disclosure requirements
  • University degree in a related discipline
  • Minimum of eight years' experience in compliance or relevant audit / risk management field covering a wide range of business areas
  • Knowledge and understanding of local laws and regulations, regulatory environment, key regulatory change initiatives and their impacts on the businesses
  • Good command of written and spoken English and Chinese including Putonghua
  • Self-motivated, with the ability to meet tight deadlines and work independently
  • Great sense of ownership and servicing mindset to ensure efficient and effective customer service processes
e-mail: [email redacted, apply via Jobable]
Employment TypeFull-time
Career LevelSenior (6-10 years)
Education LevelBachelor
LanguageEnglish, Cantonese, Mandarin (Putonghua)
Hang Seng BankFinancial Services, Retail and Commercial Banking

83 Des Voeux Road Central

directions_walk10 mins walk from Central Station