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

Responsibilities:

  • 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

Requirements:

  • 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

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More job information
Job ref no. CT3129156-01#0182
Salary
Job Function
Industry
Employment Term
  • Permanent
  • Full-time
Experience
  • 3 years - 5 years
Career Level
  • Middle management level
Education
  • Degree
  • Master's degree
Benefits
  • 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