Compliance Monitoring and Testing Manager recruitment
Responsibilities
- To assist in the implementation and design of the Compliance Monitoring Test Plan in Hong Kong in accordance to the local regulations. Compliance monitoring tests performed are primarily covering the Hong Kong market and could potentially expand to other countries within JAPA region as needed.
- Execute fieldwork testing based on Compliance Monitoring Plan
- Timely execution of fieldwork testing. Efficiency and Effectiveness in the execution testing phase is critical.
- Regular and timely dialogue and communication on the progress of the work and potential findings to the Regional Compliance Monitoring and Testing Team and the local Market Compliance officer
- Ability to identify and communicate findings with business and obtain concurrence of the findings.
- Work with business to develop remediation plans to address findings
- Prepare and draft opening and closing report
- Assist in coordinating information requests and circulate to the business prior to commencement of the testing fieldwork
- From time to time, work with local Market Compliance officer to detect and identify emerging regulatory risks or impending legislation that may have impact on the Compliance Monitoring Plan risks or impending legislation that might impact the Compliance Monitoring Plan
Requirements
- Excellent verbal and written communications skills in English. Mandarin would be an added advantage.
- Strong problem solving and analytical skills including the ability to conceptualize and break down complex issues into actionable tasks
- Capable of executing task independently with minimal supervision
- Ability to work independently from the design of compliance monitoring test plan, execution of fieldwork testing, communication of findings to business and to reporting phase.
- A good team player
- High standard of integrity
- Good academic qualification with experience in compliance, audit or legal would be an added advantage
- Minimum of 4-5 years experience within the Big Four financial services/Regulatory experience.
- Preferably with local regulatory markets knowledge
- Ability to think in a logical manner and document in a clear and concise manner of the testing work papers.
- Ability to identify and communicate key findings with business and obtain concurrence with business
To apply please click on the 'Apply online' button below or enter 23589/CLAU in the Keyword section of jobsearch.hk.hudson.com or contact Christina Lau on +852 2919 6176 for a confidential discussion. Alternatively, email your resume to hkresume@hudson.com quoting efinancialcareers - 23589/CLAU in the subject field. Interested parties are required to supply their valid HK ID No. or Passport No. (for overseas applicants).
Your interest will be treated in strict confidence and only shortlisted candidates will be notified.
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