Industrial and Commercial Bank of China (Asia) Limited

Compliance Manager - Securities Business Department

Industrial and Commercial Bank of China (Asia) Limited
Posted on 15-Apr-21

Compliance Manager - Securities Business Department

Industrial and Commercial Bank of China (Asia) Limited

Job Highlights

  • Compliance focused
  • Well-verse in regulatory requirements
  • 3-5 years related experience

Job Description

  • 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

Additional Information

Company Overview

Industrial and Commercial Bank of China (Asia) Limited (“ICBC (Asia)”) is the flagship of overseas business of Industrial and Commercial Bank of China Limited (“ICBC”) – currently the largest commercial bank in China, and it is one of the domestic systemically important banks (D-SIBs) in Hong Kong. Currently, ICBC (Asia) has 57 retail outlets (including 29 “Elite Club” Wealth Management Centres) in Hong Kong. It is engaged in commercial banking, investment banking and other financial services, including those of securities, insurance and funds, with a focus on commercial and retail banking as well as global market business. Chinese Mercantile Bank and ICBC Asset Management (Global) Company Limited, two wholly-owned subsidiaries of ICBC (Asia), specialize in Renminbi services in mainland China and ICBC’s global asset management business respectively.

Additional Company Information

Benefits & Others
Medical insurance, Five-day work week