Job Description
- Compliance Monitoring & Inspections (1.5-Line-of-Defense Role)
- Conduct regular and ad-hoc inspections in accordance with internal policies, procedures and management directives
- Perform the role of the 1.5th line of defense, collaborating with second-line functions (e.g., Risk Management, Legal & Compliance) to support the implementation of regulatory and risk management requirements within the front-line business
- Ensure timely identification, escalation, and remediation of control gaps or compliance exceptions identified during inspections
- Risk Indicator Assessment & Business Continuity Management
- Periodically assess and review the department's risk management indicators (e.g., KRIs, RCSA) to monitor the effectiveness of internal controls and risk posture
- Review and maintain the department's Business Continuity Plan (BCP), ensuring it remains current, testable, and aligned with firm-wide resilience standards
- Coordinate BCP drills & post-exercise reviews to validate operational readiness in the event of disruptions
- Departmental Policy Governance
- Manage the department's policy and procedure framework, ensuring all front-line policies are documented, approved, and accessible
- Drive the implementation of policies across the department, promoting adherence through training, communication, and monitoring
- Review, revise, and maintain policies in response to business developments, regulatory changes, or operational needs, ensuring continuous alignment with the department's evolving risk profile and strategic direction
Job Requirements
- Bachelor’s degree or above
- Experience in compliance, risk management or internal control functions is an advantage
- Familiarity with SFC regulatory requirements & compliance considerations regarding suitability & sales conduct
- Exhibit a high-level of integrity, accountability & quality awareness
- Strong analytical, communication and remediation skills
- Less-seasoned candidate with appropriate mentality and capability will be considered
Benefits & Others
We offer an attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present and expected salaries, as well as date of availability, by clicking "Apply" or by sending it to recruitment@gtjas.com.hk.
(Data collected will be kept strictly confidential and used for recruitment purpose only.)
