Securities Compliance Manager — Regulatory & Risk

Industrial and Commercial Bank of China (Asia) Limited 中國工商銀行(亞洲)有限公司; Hong Kong; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

The Industrial and Commercial Bank of China (Asia) Limited in Hong Kong seeks a Compliance Manager for the Securities Business Department to monitor operations and ensure alignment with HKMA, SFC and related regulatory frameworks. You will provide compliance guidance on securities products, transactions, and marketing materials.

The role requires 5+ years of securities compliance experience, strong knowledge of HKMA/SFO and SFC, and the ability to communicate regulatory concepts clearly.

Qualifications

• Bachelor degree or above 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-versed 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 clearly.
• Excellent analytical and problem-solving skills with strong attention to detail.
• Ability to work independently and work under pressure efficiently.
• With good interpersonal and communication skills as a people-oriented and a good team player.

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.

Skills

Regulatory compliance

HKMA/SFC knowledge

Securities experience

Analytical thinking

Communication skills

Education

Bachelor degree or above in Business/Finance/Law

Tools

Microsoft Office

Excel

PowerPoint

Job description

The Industrial and Commercial Bank of China (Asia) Limited in Hong Kong seeks a Compliance Manager for the Securities Business Department to monitor operations and ensure alignment with HKMA, SFC and related regulatory frameworks. You will provide compliance guidance on securities products, transactions, and marketing materials.

The role requires 5+ years of securities compliance experience, strong knowledge of HKMA/SFO and SFC, and the ability to communicate regulatory concepts clearly.