- Provide advisory and supports on general banking compliance matters.
- Provide recommendations to ensure that exposure to regulatory risks/issues are managed in a practical and effective manner
- To support Head of Compliance Advisory WPB, Head of Compliance Advisory WPB General Banking and the relevant stakeholders to create an effective Compliance control framework and discharge the Compliance responsibilities as Risk Steward for WPB to ensure compliance with all relevant external laws & regulations, internal codes and policies, as well as good conduct and market practices relating to Compliance risks from regulatory perspective.
- Review and advise on the rules / regulations / consultation papers issued by regulatory authorities
- Assist in fostering the compliance culture of the Bank.
- Support the implementation and oversight of the businesses' policy and governance frameworks, procedures, practices and standards to ensure quality, effective risk management and regulatory compliance Requirements
- A recognized University degree in Accounting, Law, Risk Management, and/ or related discipline
- Seasoned professional with at least 5-year experience in risk & compliance roles, to include significant retail banking experience especially on investment and wealth management.
- Extensive knowledge of securities brokerage, investment/ wealth management related regulations and guidance
- Awareness around external regulatory, legal, political considerations and implications.
- Analytical rigor in order to gauge the effectiveness of the ongoing implementation of Group Compliance standards.
- Excellent oral, written communication and presentation skills, inter-personal skills and a good team-player.
- Positive can-do attitude, ability to deliver high quality and to learn.
- Great sense of ownership and servicing mindset to ensure efficient and effective customer service processes
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HSBC Hong Kong, 香港 Permanent - 全职A Career with Hang Seng Bank · Hang Seng is committed to service excellence. Our people are our most important asset and play a vital role in our efforts to continually enhance our performance for customers and provide best-in-class products and services. We seek to attract high ...
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HSBC Hong Kong, 香港 Permanent - 全职Some careers grow faster than others. · If you're looking for a career that will give you plenty of opportunities to develop, join HSBC and your future will be rich with potential. Whether you want a career that could take you to the top, or simply take you in an exciting new di ...
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Pure Hong Kong Hong Kong, 香港 全职The Company · Our client is a top tier private bank, with strong presences in Asia, with a long history and established compliance team and culture in HK. As a part of their growing HK Compliance Team, they are now looking for a smart, stable and driven compliance professional to ...
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Limits Control
2天前
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Dah Sing Financial Group Hong Kong, 香港 全职About Dah Sing Group · The Dah Sing Group is a leading financial services group in Hong Kong offering banking, insurance, financial and other related services through its growing network of over 70 branches in Hong Kong, Macau and Mainland China. · Our currency is caring, teamw ...
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Compliance Advisory Manager, Wealth and Personal Banking - Hong Kong, 香港 - HSBC
描述
A Career with Hang Seng Bank
Hang Seng is committed to service excellence. Our people are our most important asset and play a vital role in our efforts to continually enhance our performance for customers and provide best-in-class products and services. We seek to attract high-calibre talent by offering a dynamic working environment, good career development opportunities and competitive compensation packages.
Risk and Compliance
Hang Seng's Risk and Compliance ("RKM") strives to maintain a well-balanced risk profile for the Bank while enabling businesses to thrive. Our team actively manages a varied and dynamic range of risk types. We are dedicated to collaborate with businesses, other functional units and regulatory bodies to develop and implement robust and customized risk management frameworks and measures to maintain the strong market position of the Bank.
We are currently seeking high caliber professionals to join our department as Compliance Advisory Manager, Wealth and Personal Banking.
Principal responsibilities
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