Compliance Manager, Securities Business Department

Job Responsibilities

1. Maintain and monitor the operation of securities business to align with the HKMA, SFC and other any other relevant regulatory frameworks
2. Provide compliance advice and guidance to business units on securities-related products, transactions, dealing and marketing materials
3. Evaluate and identify any potential compliance and operational risks from securities business activities and products, provide corresponding precautions if necessary
4. Disseminate laws and regulations issued by regulators and coordinate gap analysis, manage regulatory change impact and ensure timely implementation of new or updated rules
5. Collaborate with business/ operations teams to establish sound internal controls to mitigate the associated risks
6. Investigate and prepare compliance-related incident, recommend corrective actions or disciplinary measures where necessary
7. Work with group compliance and internal parties to keep abreast of and adhere to the updated group policies and requirements
8. Prepare and submit questionnaires, surveys, investigations, licensing application and other enquiries in relation to regulators
9. Prepare training to promote compliance awareness among colleagues
10. Handle ad-hoc projects from time to time assigned by Team Head/ Management.

Job Requirements

1. University graduate with major in Business, Accounting, Finance, Law or related disciplines
2. Minimum 5 years of experience in Securities Business in the Financial Industry, preferably in banking
3. Experience in being compliance manager
4. Well-verse in regulatory requirements such as the HKMA and SFC
5. Familiar with Banking Ordinance, SFO and relevant rules, codes and guidelines issued by the HKMA and SFC
6. Sound knowledge of relevant laws and regulations pertinent to bank
7. Ability to communicate regulatory concepts and understanding clearly
8. Excellent analytical and problem-solving skills with strong attention to details
9. Ability to work independently and work under pressure efficiently
10. With good interpersonal and communication skills as a people-oriented and a good team player
11. Proficiency in Microsoft Office (especially Excel and Power Point)