Compliance Controller- Regional Corporate Bank

Job Description:

• Contribute to the annual Risk Control Self-Assessment based on the second level control results
• Execute local and regional second line controls as determined in the annual Compliance Risk Assessment
• Scope second level assessment reviews and define the testing plan
• Analyze the process and the overall control framework in place to mitigate the compliance risk and identify any control weaknesses
• Assess the design and execution of existing controls in accordance with Bank standards and methodology to identify any weaknesses
• Track and verify the completion of corrective action plans agreed with stakeholders
• Provide regular updates of Control assessments to key stakeholders in APAC or in other relevant regions as required
• Collaborate with the Head Office Controls Team, Head Office and regional first level controls team and other regional Compliance Control functions
• Provide KPI, KRI and key results/key information for management reporting
• Maintain updated knowledge of the business line organization as well as its strategic developments and key projects

Job Requirements:

• At least 5 years of relevant experience (eg. Internal Audit, Monitoring and surveillance or other related areas)
• Strong knowledge of regulations (SFC, HKMA, MAS rules and EU directives, etc)
• Strong knowledge of Capital Markets & Investment Banking Operations/environment and associated products.
• Data analytical skills with advanced Excel experience

Kindly indicate your current/last salary details and your notice period

Office Location: Central

Interested candidates kindly forward your CV to adoralee@pplesearch.com (Adora Lee, Reg No: R1879177).

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