Securities Compliance Manager: Risk, Regulation & Training

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

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.