COMPLIANCE TESTING REVIEWER recruitment
An international banking group with a huge global footprint is looking for a dynamic candidate to work in their Compliance team that involved the establishment and execution of the risk based compliance testing performed in the country and/or at a Regional level. Reporting to the Regional Cluster Testing Head or alternatively to a Country Compliance Testing Head and/or functionally to the CCCO.
Key Responsibilities:
- support in establishing effective and optimal test plans; identify all relevant RRIs, together with their inherent risk rating applicable to the identified compliance risks to be covered in a review
- participate in compliance testing review planning and test program developing
- execute the test program, and document the test detail and result at required standard
- assess the risk level of exceptions identified, and communicate effectively with related parties
- support or perform a CAP validation review and validation and formal report issuances / publications
- lead or support in reviews and monitor test progress, test results and observations, adequacy of controls, CAP management ensuring that CAPs adequately address the issues / risks and are resolved timely and validated as required
- understand and develop a good knowledge of complex banking products (e.g. equities, derivatives) segments (e.g. private banking)
- develop skills of testing, analytical and proactive assessment of emerging risks / trends with a ‘big picture" view
- build and cultivate connections and partnerships across the business / function
Requirements:
- four to six years in the financial services industry or in Big Four with financial institution engagement
- experience in compliance, control /or audit / risk management role is desirable
If you would like to apply for this role or find out more, please contact Gina Hui at Robert Walters on (852) 2103 5300 or gina.hui@robertwalters.com.hk quoting the Job Reference GHH/386220.
April 6, 2011
• Tags: Compliance, COMPLIANCE TESTING REVIEWER recruitment, Legal careers in the Hong Kong SAR • Posted in: Financial