Job ref no.: CT3129156-01#0182
Industrial and Commercial Bank of China (Asia) Ltd

Compliance Manager - Securities Business Department

Industrial and Commercial Bank of China (Asia) Ltd


  • Evaluate securities business activities and products to identify any potential compliance risk and operational risk
  • Identify any gap between internal policies and procedures and new regulatory requirements
  • Collaborate with business/ operations teams to establish sound internal controls to mitigate the associated risks
  • Review and maintain Policies and Procedures to ensure adhere to applicable regulations
  • Work with internal parties to facilitate regulatory examinations, questionnaires, surveys, investigations and other regulatory requirements
  • Review all policies and procedures to ensure complying with the regulatory requirements and maintain the consolidated list regularly
  • Provide advise on products, sale and marketing materials, training materials from compliance perspective
  • Prepare training materials to promote compliance awareness among the colleagues


  • Bachelor or above with major in Economics, Risk Management, Accounting, Finance, or related subject
  • 3-5 years experience in compliance, internal control, risk management or internal audit in financial industry
  • Well-verse in regulatory requirements, such as the HKMA and SFC
  • Experience in writing internal policies and procedures, management reporting
  • Analytical with attention to details
  • A team player, able to work independently and self-motivated
  • Good command of both written and spoken English and Chinese


Interested parties, please click Apply Now for application.

Personal data collected will be used for recruitment purpose only.

More job information
Job ref no. CT3129156-01#0182
Job Function
Employment Term
  • Permanent
  • Full-time
  • 3 years - 5 years
Career Level
  • Middle management level
  • Degree
  • Master's degree
  • 5-day week
  • Birthday leave
  • Competitive pay
  • Dental plan
  • Discretionary bonus
  • Education subsidies
  • Examination leave
  • Family medical plan
  • Insurance plan
  • Marriage leave
  • Medical plan
  • … + 6 more