Manager, Securities Compliance and Compliance Review
- Hong Kong
- Permanent, Full time
- ICBC Asia
- 22 Sep 16
- Formulate and revise compliance policies and monitoring programs and ensure operations of business units are in line with relevant rules and regulations.
- Assist in reviewing new product proposals, policies and procedures to draw attention to compliance concerns, and ensure regulatory requirements are met.
- Conduct ad hoc investigation on non-compliance matters and monitor actions to ensure violation of internal and external rules are properly addressed and prevent recurrence of incidents.
- Manage relationship with regulators by coordinating enquiries and investigations by HKMA and SFC and participate in investment related complaint handling team to ensure all these complaints are properly handled.
- Manage ensure the team meets with assigned targets.
- Cultivate the environment and culture of compliance by providing in house compliance training to staff members.
- University graduate with major in Business, Finance, Banking, Law or relevant disciplines.
- Minimum 5 years of relevant compliance experience in banking industry.
- Familiar with banking and securities operations.
- Experienced in dealing with regulators with excellent negotiation skills.
- Self-motivated, independent and able to work under pressure with team management experience.
- Good command of both written and spoken English and Chinese (including Putonghua)
Candidates with less experience would be considered for Deputy Manager or Assistant Manager position.