Compliance Manager

Hang Seng Investment Management Limited  

Established in 1993, Hang Seng Investment Management Limited ("HSVM") is a wholly-owned subsidiary of Hang Seng Bank Limited, and is one of the largest Hong Kong homegrown asset management companies. HSVM specializes in Hong Kong and China markets and is committed to offering retail and institutional investors with a comprehensive range of investment products including ETFs, index tracking funds, actively-managed equities and fixed income funds, retirement funds, as well as institutional and corporate portfolios.

We are currently seeking a high caliber professional to join our department as Compliance Manager.
  

Principal responsibilities 

• Foster a positive culture of compliance by working proactively with the business line, global function, Operations, Business Risk and Control Management and other compliance professionals to ensure that best practices are followed in accordance with the applicable laws, rules, regulations and internal policy
• Follow prescribed issue escalation protocols, monitor business activities, and revise procedures
• Serve as regulatory coordinators for a specific regulation
• Advise and guide assurance teams within Regional and Global Business Compliance teams on all Regulatory Compliance matters; assist and help promote the development and effectiveness of the regional / country / global business assurance team activity
• Support the Group's Regulatory Compliance strategy by identifying, informing and advising Senior Management of any developing issues and trends that may impact or be relevant to the Group's management as appropriate of Regulatory Compliance risk
• Carry out impact analysis and advice on regulatory change; drive co-ordination and execution of the various Regulatory Compliance change work streams and embed Operating Model changes while ensuring alignment with Global Standards
• Establish management and administrative procedures and processes for Hang Seng Investment Management Limited (HSVM) to ensure adherence to policies and manage operational risk

Requirements

• University degree or professional qualification in Law / Finance / Accounting / Business
• Minimum of 3 years relevant experience in regulatory compliance function
• Excellent communication and interpersonal skills, with experience of dealing with executives at all levels including the capacity to articulate the case for risk management and policy in the language of business
• Ability to develop practical and cost effective solutions to complex issues.
• Experience of dealing with regulatory matters and confident interaction with Regulators.
• Experience of interpreting and analysing a large volume of information and / or data and provide succinct summary for management.
• Experience of working within a matrixed environment preferred including reporting internationally.
• Great sense of ownership and servicing mindset to ensure efficient and effective customer service processes
• Ability to lead change in Hang Seng Bank / HSVM, contributing to joining up with the other teams in Risk and Business globally.

Visit Hang Seng Career Page and sign up with our Talent Community to receive the latest information about our career opportunities in Hang Seng Hong Kong.

The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (2019-nCoV), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at the HSBC Group.  As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey.  If so, one of our Resourcing colleagues will explain how our video-interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions you might have. 

All information provided by applicants will be used only for recruitment purposes and will be used strictly in accordance with the Bank's personal data policies, a copy of which may be obtained by the applicant upon request. Unless otherwise instructed in writing by the applicant concerned, applicants may be considered for other suitable positions within the Bank and its related companies. The personal data of unsuccessful job applicants may be retained for a maximum of two years from the date when the job application is rejected and such data may be retained for a longer period if there is a subsisting reason that obliges the Bank to do so, after which the personal data will be destroyed.