Wealth Management Product Manager (Business Compliance and Operational Risk)

Responsibilities: Conduct various business reviews and forecasts through ongoing product and market analysis of Securities & Futures business, especially on regulatory perspectives Formulate relevant compliance strategies, work plans and control measures based on Group policies and relevant regulations, codes, guidelines and/or regulatory manuals of regulatory agencies Assist superiors to implement various compliance and monitoring assurance measures, perform supervision assurance inspections,

Bank Of China (Hong Kong) Limited - Hong Kong - Full time

Salary: Competitive

Responsibilities:
  • Conduct various business reviews and forecasts through ongoing product and market analysis of Securities & Futures business, especially on regulatory perspectives
  • Formulate relevant compliance strategies, work plans and control measures based on Group policies and relevant regulations, codes, guidelines and/or regulatory manuals of regulatory agencies
  • Assist superiors to implement various compliance and monitoring assurance measures, perform supervision assurance inspections, and report to relevant functional committees and management on time
  • Closely monitor and analyze the risks of non-compliance incidents, coordinate on rectification plans and measures if necessary
  • Assist in and preparing the compliance training program so as to promote the risk awareness and compliance levels
  • Respond to and follow up on inquiries and/or reports from various regulatory parties regarding compliance issues
  • Handle ad hoc projects as assigned by management
Requirements:
  • Degree or above with major in Business Administration, Accounting, Finance, Law, or related disciplines
  • Professional certifications in f risk and compliance management such as CAMS, CGSS or ECF on Compliance, Operational Risk and AML/CFT under HKIB will be an asset
  • At least 3 years experience in compliance, internal control, risk management, or internal audit in securities brokerage business
  • Familiar with SFO and relevant rules, codes and guidelines issued by SFC or other relevant regulatory parties
  • Good knowledge of securities products, especially on compliance and risk management perspectives
  • Ability to work independently and work under pressure efficiently
  • Self-motivated, independent, and with excellent interpersonal skills
  • Excellent command of both spoken and written English and Chinese, knowledge in Mandarin preferred
Apply
21206397

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