Compliance Testing, Investment Bank recruitment
Reporting to a Director of Compliance Testing, you will be responsible for assessing the effectiveness of existing and proposed compliance controls and bank policy and making recommendations for improvement. This will involve working closely with compliance and business management heads across all areas of the bank - capital markets, investment banking, corporate banking and wealth management - in order to identify key areas of risk re trades, monitoring and surveillance. You will then set up specific testing programmes aimed at evaluating regulatory compliance and report the findings. A key component of this role is to build stakeholder relationships so as to implement necessary remedial actions.
The successful candidate will possess at least 5-7 years' relevant experience gained within a global financial institution. A recognised accounting qualification is desirable as is a working knowledge of regional regulatory requirements (SFC, HKMA, MAS). Candidates with an Audit background will also be considered, providing that there is a degree of banking product knowledge. Key for this role, is the need to communicate effective reports, both written and oral and the ability to develop key stakeholder management relationships across the bank. Fluency in English essential.
This role offers the successful candidate the opportunity to develop a strong understanding of the internal workings of the Bank and its policies towards compliance. For an Audit based candidate, this represents a great chance to move across into the burgeoning compliance field.
