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Compliance Manager, Securities Business Department

Industrial and Commercial Bank of China (Asia) Limited • Full Time • Hong Kong, Hong Kong, HK • 13h ago

Compliance
Compliance advisory
Monitoring

Job Responsibilities

Maintain and monitor the operation of securities business to align with the HKMA, SFC and other any other relevant regulatory frameworks
Provide compliance advice and guidance to business units on securities-related products, transactions, dealing and marketing materials
Evaluate and identify any potential compliance and operational risks from securities business activities and products, provide corresponding precautions if necessary
Disseminate laws and regulations issued by regulators and coordinate gap analysis, manage regulatory change impact and ensure timely implementation of new or updated rules
Collaborate with business/ operations teams to establish sound internal controls to mitigate the associated risks
Investigate and prepare compliance-related incident, recommend corrective actions or disciplinary measures where necessary
Work with group compliance and internal parties to keep abreast of and adhere to the updated group policies and requirements
Prepare and submit questionnaires, surveys, investigations, licensing application and other enquiries in relation to regulators
Prepare training to promote compliance awareness among colleagues
Handle ad-hoc projects from time to time assigned by Team Head/ Management.

Job Requirements

University graduate with major in Business, Accounting, Finance, Law or related disciplines
Minimum 5 years of experience in Securities Business in the Financial Industry, preferably in banking
Experience in being compliance manager
Well-verse in regulatory requirements such as the HKMA and SFC
Familiar with Banking Ordinance, SFO and relevant rules, codes and guidelines issued by the HKMA and SFC
Sound knowledge of relevant laws and regulations pertinent to bank
Ability to communicate regulatory concepts and understanding clearly
Excellent analytical and problem-solving skills with strong attention to details
Ability to work independently and work under pressure efficiently
With good interpersonal and communication skills as a people-oriented and a good team player
Proficiency in Microsoft Office (especially Excel and Power Point)

Interested parties, please click Apply Now for application.

Personal data collected will be used for recruitment purpose only.

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