Director, Business Compliance and Operation Risk - Private Banking

Responsibilities:

Act as the Department Operation Risks Manager (first line of defense)
Assess product due diligence request raised by business
Coordinate BCP; perform UAT for system changes
Implement and review the risk control mechanisms (e.g KRIs) and risk monitoring requirements on the private banking business
Work on regulatory survey(s); conduct annual risk and control assessment to ensure relevant risks are identified with proper control being laid down
Review policies & procedures, risk assessment materials submitted by various units and to analyze the compliance/operation risks in new businesses / products / systems
Conduct trade surveillance, daily report monitoring and other regular transaction and work flow monitoring to identify possible compliance/operational risks and provide recommendations to enhance control weaknesses
Perform self-assessment, gap analysis against internal and/or regulatory requirements
Advise business units on operational risks and control matters, including coordinate business contingency plan
Investigate operational risk incidents, recommend appropriate enhancement and monitor implementation status of action plan(s)
Perform regular and ad hoc monitoring on relevant business activities and prepare management reports on compliance and operation risk related review results
Coordinate internal / external review, self-assessment or audit

Requirements:

Degree or above
At least 8 years banking experience, with Operational Risk Management experience on private banking. With Compliance background is an advantage.
Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks.
Proficient in written, spoken English and Chinese

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