Compliance Manager, Securities Business Department

Industrial and Commercial Bank of China; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

Industrial and Commercial Bank of China (Asia) Limited is seeking a compliance professional to oversee securities operations in Hong Kong, ensuring alignment with HKMA and SFC requirements. The role involves providing regulatory guidance, identifying risks, and implementing controls across businesses and products.

The ideal candidate has at least five years in securities compliance, strong analytical skills, and the ability to communicate complex standards clearly.

Qualifications

• 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)

Responsibilities

• Maintain and monitor the operation of securities business to align with the HKMA, SFC and 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.

Skills

Regulatory knowledge

Analytical skills

Communication skills

Team player

Independent worker

Education

University degree in Business/Accounting/Finance/Law

Tools

Microsoft Office

Excel

PowerPoint

Job description

Industrial and Commercial Bank of China (Asia) Limited (“ICBC (Asia)”) is the flagship of overseas business of Industrial and Commercial Bank of China Limited (“ICBC”) – currently the largest commercial bank in China, and it is one of the domestic systemically important banks (D-SIBs) in Hong Kong. Currently, ICBC (Asia) has 52 retail outlets (including 27 “Elite Club” Wealth Management Centres) in Hong Kong. It is engaged in commercial banking, investment banking and other financial services, including those of securities, insurance and funds, with a focus on commercial and retail banking as well as global market business. Chinese Mercantile Bank and ICBC Asset Management (Global) Company Limited, two wholly-owned subsidiaries of ICBC (Asia), specialize in Renminbi services in mainland China and ICBC’s global asset management business respectively.

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)

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