Senior Business Compliance Manager

Hang Seng Bank Limited

Investments and Wealth Solutions - Investment Platforms and Operations

Hang Seng's Investments and Wealth Solutions offers a full spectrum of investment products and services to our Wealth and Personal Banking customers, from high-net-worth to mass segments across channels. We distribute investment funds managed by top tier fund managers covering different types of funds, across regions and asset classes. A wide range of structured products with underlying linked to equities, FX rates, interest rates, investment funds, etc. are offered for investors to pursue different investment objectives. We also offer fixed income instruments and certificates of deposit to customers who look for regular coupon payment.  Besides, we have securities services covering exchange traded equities in local and overseas markets offered through a wide variety of trading channels. Margin trading services covering FX and securities, and investment financing service provides extra liquidity and purchasing power to cater for investment needs from sophisticated investors.

We are seeking a high caliber to join us as Senior Business Compliance Manager.

Principal Responsibilities

  • Keep abreast of relevant group guidelines as well as regulatory requirement and identify their impacts and necessary controls on the business processes
  • Lead and provide business compliance support to Investment business to ensure compliance with the relevant laws, rules, codes, regulations and guidelines set by regulators and HSBC Group (the “Group”),
  • Work with business teams and risk stewards to perform gap analysis on regulatory circulars/surveys and the Group’s policy and governance frameworks
  • Act as the key liaison with different businesses and functions on internal/ external audit/ regulatory/ compliance reviews and articulate the findings and recommendations to management
  • Propose and implement quality enhancement and control strengthening initiatives in response to the review findings, business initiatives, regulatory update and Group policies update
  • Ensure appropriate governance and execution plans are in place, and articulate and report the progress update of respective reviews for management and risk oversight


  • University degree in Finance, Business Administration, Economics or related discipline
  • Seasoned professional with 10 years of experience in banking/financial services industry with exposure in risk & compliance roles. Experience in performing gap analysis on regulatory circulars, or participate in internal/external audit review would be an advantage
  • Strong knowledge of investment products such as investment funds, structured products, bonds, investment FX and cross-border investment schemes/ relevant initiatives preferred
  • Strong project management and planning skills with the ability to multi-task driving projects.
  • Demonstrated track record in the implementation and oversight of policy and governance frameworks, procedures, practices
  • Strong communication skills both verbal and written, experience of having worked with second line of defense or risk stewards in regulatory, risk and control areas
  • Strong leadership skills, demonstrating capability in leading team to inspire and engage people and effect change to regulatory update
  • Great sense of ownership and servicing mindset to ensure efficient and effective business risk and compliance process
薪酬 薪金面議
  • 銀行 ‧ 金融服務 - 一般 · 其他
  • 全職
  • 長期
  • 學士


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