(Senior ) Manager - Financial Markets Compliance

Bank of China (Hong Kong) Limited; Hong Kong; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

Bank of China (Hong Kong) Limited is seeking a Senior Manager in Financial Markets Compliance to provide regulatory advice across products and services. You will review due diligence, support policy implementation, and coordinate with regulators and internal teams.

The role requires strong English and Chinese communication, stakeholder management, and a proactive approach to regulatory change. You will lead trainings, monitor compliance, and ensure timely reporting to regulators.

Qualifications

• Degree holder in Law, Banking and Finance, Accounting or related disciplines.
• 5-8 years' relevant experience in regulatory compliance in banking or financial sectors.
• Sound knowledge of financial market products/services and regulatory requirements.
• Fluent English and Chinese (Putonghua) communication skills.

Responsibilities

• Provide professional regulatory advice to financial markets' business lines on products and services.
• Review product due diligence and related policies and procedures.
• Support the establishment and update of compliance policies and deliver trainings.
• Assist with licensing and registration matters as required.
• Guide business units on conduct-related incidents and regulatory reporting.
• Attend regulator inquiries and coordinate with regulators and internal stakeholders.
• Prepare reports and monitor compliance thresholds for regulators and the parent bank.

Skills

Project management

Stakeholder management

Analytical thinking

Communication skills

Putonghua

Education

Law degree

Finance degree

Job description

(Senior ) Manager - Financial Markets Compliance

• Provide professional regulatory advice to financial markets’ business lines on products and services, review product due diligence and related policies and procedures;
• Support the establishment, implementation and update of compliance policies, procedures; provide trainings across business and operation teams to ensure strict compliance with group and regulatory requirements;
• Working with internal stakeholders and provide support on licensing and registration matters when required;
• Provide guidance to business units on the handling of conduct-related incidents to ensure timely reporting to regulators and monitor the implementation of the rectification measures;
• Attend to regulators’ enquiries and information requests in relation to compliance related matters and coordinate with regulators and internal stakeholders as necessary;
• Keep abreast of the latest development of legal and regulatory requirements, guide business units in conducting gap analysis and provide compliance advice as necessary, monitoring the implementation progress and carry out post-implementation review on a risk basis; and
• Coordinate business units in submission of information as requested by regulator(s) and/or the parent bank from time to time; monitor compliance thresholds and prepare reports to regulator(s) and/or the parent bank as and when required.

Requirements:

• Degree holder or above in Law, Banking and Finance, Accounting or related disciplines;
• 5-8 years' relevant experience in regulatory compliance and control roles in banking, financial sectors or regulatory bodies is preferred;
• Sound knowledge in financial market products/services, the relevant regulatory requirements and market practice;
• Good project and stakeholder management, analytical and problem-solving skills, excellent communication skills in both English and Chinese (including Putonghua);
• Self-motivated and ability to work under pressure in a fast-paced environment; and
• Fast learner with an open mindset towards new initiatives