Manager, Internal Control (Compliance, Investigation, max 50k)

PERSOL; Hong Kong; On-site; HKD 45,000 - 55,000; Full time

Job summary

PERSOL is seeking a Manager, Internal Control to oversee control monitoring and testing of loan workflows, investigate exceptions, and drive remediation tracking in a regulated banking setting.

The role requires 3+ years in banking/internal control, strong documentation, and fluency in English and Chinese. HKMA/SFC regulatory awareness is essential, with collaboration across Risk, Compliance, and IT teams.

Qualifications

• Degree in Law, Business, Banking/Finance, Accounting, or related disciplines.
• 3+ years in banking/financial services internal control, compliance, or audit.
• Experience in investigation writing and remediation tracking.
• Proficient in English and Chinese (Cantonese/Mandarin preferred).
• Knowledge of HKMA and SFC regulatory expectations.
• Familiar with loan/credit approval processes.
• Strong document management and auditable evidence trails.

Responsibilities

• Internal Control Monitoring & Testing of loan approval workflow.
• Investigate exceptions and breaches; identify root causes.
• Recommend process improvements and track remediation.
• Support audit requests; prepare working papers and responses.
• Coordinate with management and authorities ensuring confidentiality.

Skills

Internal control

Testing

Investigation writing

Remediation tracking

Audit support

Regulatory knowledge HKMA

Documentation

Education

Degree in Law/Business/Banking/Finance/Accounting

Job description

Manager, Internal Control (Compliance, Investigation, max 50k)

Our client is a Chinese based bank. They are seeking for a manager to support their daily operation.

Responsibilities:

A. Internal Control Monitoring & Testing

Perform periodic reviews and control testing of the loan approval workflow (e.g., application intake, credit assessment, documentation, approval authority checks, policy adherence, system workflow controls).

Check whether decisions and operational actions follow applicable bank procedures and required regulatory policy requirements (HKMA/SFC and any relevant guidelines).

Maintain testing plans, sampling methodologies, and evidence documentation to ensure controls are assessed consistently.

B. Investigation of Mistakes / Exceptions

Investigate exceptions, suspected errors, or control failures identified through testing, complaints, management referrals, or monitoring results.

Identify root causes (process, policy interpretation, staff actions, documentation/system issues) and determine whether breaches occurred.

Produce clear investigation reports, summarising facts, findings, impacts, and recommended remediation actions.

C. Control Improvement & Remediation Tracking

Recommend process, control, and policy enhancements to prevent recurrence.

Support implementation of remediation actions and track progress to closure with relevant stakeholders (Credit, Operations, Risk, Compliance, IT/System teams where applicable).

Update internal control procedures/checklists and guidance materials for loan approval process governance.

D. Audit Support

Support audit requests, including internal audit, external audit, and “welcome audit” activities (pre-audit readiness / fieldwork support as assigned).

Prepare working papers, audit evidence packs, and responses to audit observations.

Ensure documentation retention and audit trail completeness.

Coordinate with management and relevant functions when there are investigations or inquiry requests involving authorities (e.g., ICAC), ensuring confidentiality and compliance with internal/legal protocols.

Support interviews, document collection, and fact-finding activities as assigned.

Maintain appropriate records and ensure communications are controlled and approved.

Requirements:

Degree in Law, Business, Banking/Finance, Accounting, or related disciplines (or equivalent professional qualification).

Relevant professional experience in banking / financial services internal control, compliance, or audit (e.g., 3+ years for manager grade)

Preferably with experience in investigation writing and remediation tracking.

Proficiency in English and Chinese (Cantonese/Mandarin preferred) for report writing and stakeholder communications.

Background in internal control, compliance monitoring, internal audit, or risk/control assurance, ideally with exposure to loan/credit approval processes.

Experience investigating policy breaches, exceptions, or operational errors in regulated or banking environments.

Familiar with banking operations, credit processes, and governance frameworks.

Knowledge of regulatory expectations relevant to HKMA and SFC (especially where loan-related activities/arrangements overlap with SFC/HK regulatory requirements).

Strong document management discipline; ability to build auditable evidence trails.