Compliance Manager, Securities Business Department

Job 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.

Job Requirements

• University graduate with major 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-verse 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 and understanding clearly

• Excellent analytical and problem-solving skills with strong attention to details

• Ability to work independently and work under pressure efficiently

• With good interpersonal and communication skills as a people-oriented and a good team player

• Proficiency in Microsoft Office (especially Excel and Power Point)