Compliance Manager, Securities Business Department

Industrial and Commercial Bank of China (Asia) Limited; Hong Kong; On-site; HKD 600,000 - 800,000; Full time

Job summary

The Industrial and Commercial Bank of China (Asia) Limited in Hong Kong is seeking a compliance manager with a strong background in the securities business. The ideal candidate will have a university degree in Business, Accounting, Finance, Law, or a related field, with a minimum of 5 years' experience in the financial industry.

Responsibilities include maintaining regulatory compliance, providing guidance on securities products, and evaluating compliance risks. Proficiency in Microsoft Office and excellent analytical skills are essential.

Qualifications

• Minimum 5 years of experience in Securities Business in the Financial Industry.
• Experience as compliance manager.
• Well-versed in regulatory requirements such as HKMA and SFC.

Responsibilities

• Maintain and monitor the operation of securities business for regulatory compliance.
• Provide compliance advice to business units on securities-related products.
• Evaluate potential compliance and operational risks.

Skills

Communication regulatory concepts

Analytical skills

Problem-solving skills

Attention to detail

Interpersonal skills

Team player

Proficiency in Microsoft Office

Education

University graduate in Business, Accounting, Finance, Law or related disciplines

Job description

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 complianceand internal partiesto keep abreast of and adhere to the updated group policies and requirements

• Prepare and submit questionnaires, surveys, investigations, licensing applicationand other enquiriesin relation to regulators

• Prepare training topromote 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

• Minimum5years of experienceinSecurities 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 withBanking Ordinance, SFOand relevant rules, codes and guidelines issued bytheHKMA 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)

More Job Information

Job Function

• 銀行 · 金融服務 - 風險管理

Employment Term

• 全職

Education

• 學士