Manager, Internal Control and Compliance Operations

About the Job

We are seeking an experienced Manager to oversee internal control, AML/KYC governance, internal audit operations, SOP/handbook enhancement, and branch compliance support. This role plays a key part in strengthening our operational risk framework, ensuring full adherence to Hong Kong regulatory requirements, and uplifting the compliance culture across all branches.

Key Responsibilities

AML/KYC Governance & Regulatory Execution

• Lead the execution of HK AML requirements, including daily KYC reviews and frontline CDD support.
• Ensure statutory compliance for cash transaction records.
• Identify and analyze branch error trends to proactively mitigate risks during business reviews.

Audit Coordination & Program Management

• Drive the internal audit program, overseeing financial audits and document sampling.
• Track audit progress, ensuring control gaps are closed via effective corrective action plans.
• Act as the primary point of contact for external regulatory inspections and internal reviews.

SOP & Handbook Evolution

• Lead the comprehensive update of the Branch Cashier Procedure Handbook to match modern practices.
• Collaborate with cross-functional partners to refine operational guidelines and SOPs.

Investigations & System Controls

• Investigate operational irregularities, lost items, or disciplinary cases using CCTV and data verification.
• Prepare detailed reporting and sentencing recommendations.
• Maintain system authorization controls to align with regulatory requirements.

Strategic Stakeholder Engagement

• Serve as the key interface between Risk Management and Internal Audit.
• Provide professional insights to uplift branch integrity and compliance culture.

Requirements

• Minimum 8 years’ experience in AML, compliance, internal control, or branch operations
• Strong understanding of Hong Kong AML/KYC regulations and operational risk management
• Proven strong analytical and problem‑solving ability
• Highly detail‑oriented, responsible, and able to work independently
• Excellent communication skills with strong stakeholder management abilities