Manager, Securities Compliance and Compliance Review

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • ICBC Asia
  • 22 Sep 16

Job Description

  • 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.


Job Requirement:

  • 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.