Industrial and Commercial Bank of China (Asia) Limited

Manager to Senior Manager, Investment and Insurance Compliance, ICD

Industrial and Commercial Bank of China (Asia) Limited
Posted on 16-Apr-21

Manager to Senior Manager, Investment and Insurance Compliance, ICD

Industrial and Commercial Bank of China (Asia) Limited

Job Highlights

  • HKMA
  • SFC
  • Investment Compliance

Job Description

Job Description:

  • Assist in reviewing new product proposals, policies and procedures to draw attention to compliance concerns
  • Provide advice to different departments on compliance and regulatory related matters to help them to meet regulatory requirements
  • Review product documents and marketing materials of different departments to ensure they meet regulatory requirements
  • Disseminate Circular and Guidelines from regulators and ensure the relevant parties compliance with the regulatory requirement
  • Assist in conducting survey, self-assessment and questionnaire of regulators
  • Conduct ad-hoc investigation on non-compliance matters and monitor remedial action to ensure violation of internal and external rules are properly addressed and prevent recurrence of such incidents
  • Manage the relationship with regulator by coordinating enquiries and investigations by HKMA and SFC and participate in investment related complaint handling team to ensure all these complaints are properly handled

Job Requirment:

  • University graduate with major in Business, Finance, Banking, Law or relevant disciplines
  • Minimum 3-5 years’ of relevant compliance experience in banking industry
  • Familiar with banking and securities operations
  • Experienced in dealing with regulators with excellent negotiation skills
  • Self-motivated, independent and able to work under pressure with team management experience
  • Good command of both written and spoken English and Chinese (including Putonghua)

Interested parties, please click "Apply Now" for application.

Personal data collected will be used for recruitment purpose only.

Additional Information

Career Level
Years of Experience
3 years
Job Type
Full Time, Permanent

Company Overview

Industrial and Commercial Bank of China (Asia) Limited (“ICBC (Asia)”) is a licensed bank incorporated in Hong Kong. It has 53 branches, 18 “Elite Club” Wealth Management Centres and 4 commercial business centres in Hong Kong. It is principally engaged in banking, financial and other financial related services with focus on retail banking, commercial banking as well as corporate banking business. Chinese Mercantile Bank and ICBC (Asia) Investment Management Company Limited, the wholly-owned subsidiaries of ICBC (Asia), are specialized in the RMB services in Mainland China and the investment management businesses with a focus on Asia respectively. ICBC (Asia) is the flagship of Hong Kong banking business of Industrial and Commercial Bank of China Limited, the largest commercial bank in Mainland China (in terms of total assets).

Additional Company Information

Benefits & Others
Medical insurance, Performance bonus, Five-day work week