Manager / Assistant Manager, Investment & Insurance Compliance

Responsibilities:

• Collaborate with relevant departments and provide compliance guidance during the gap analysis to assess the impact of new regulatory changes that are applicable to the Bank Group

• Provide compliance advices and business support in the areas of securities business and other regulated activities to meet the regulatory standard or business changes

• Review new product and services proposals (e.g. product documents, selling process, marketing and training materials), and the relevant policies and procedures

• Assess potential compliance issue revealed from operational risk incidents and complaints

• Support business units in conducting regular and ad-hoc regulatory surveys and handle follow-up questions raised by the regulator(s)

• Assist to develop, review and implement compliance plan, the relevant guidelines/procedures and conduct compliance related training

• Handle ad hoc tasks assigned by supervisor

Requirements:

• Degree holder in Finance, Banking, Risk Management, Law or related disciplines

• Minimum of 5 years of relevant experience from banks, securities firms, regulators, or auditors

• Strong knowledge of the Securities and Futures Ordinance (SFO), securities-related rules, and regulations; familiarity with HKEx requirements is advantageous.

• Strong understanding of operations of securities firms and products/services offered by banks

• Responsible, detailed-mind, well-organized with good communication skills