(Assistant - Senior) Manager, Business Compliance & Operation Risks (Compliance, Private Banking)
Core
Act as first line of defense to advise business on compliance and control matters, conduct transaction monitoring, and ensure adherence to internal/external requirements for private banking.
Role type
Senior Manager, Business Compliance & Operation Risks
Builds
Compliance frameworks and risk mitigation strategies for private banking products and processes
Domain
Banking, Private Banking, Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Transaction monitoring, Regulatory analysis, Gap analysis, Internal reporting, Risk mitigation, Compliance training, Audit coordination, Customer complaint investigation
Preferred skills
Investment product knowledge
Technologies
N/A
Responsibilities
Advise business on compliance and control matters, Conduct transaction monitoring and business review, Review marketing/product materials for compliance risks, Conduct self-assessments and gap analyses, Prepare internal reporting to senior management, Assist in compliance training and customer complaint investigations
Seniority
Senior, hands-on IC