- 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.
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China Re Asset Management (Hong Kong) Company Limited Hong Kong, 香港 全职Job Description 崗位描述 · 根據香港證監會要求,持續落實公司合規相關工作,識別和評估相關合規風險,確保公司業務符合香港監管要求; · 協助公司牌照和個人牌照的申請(即負責人員及代表); · 安排持續的專業培訓課程,並保持CPT記錄; · 定期審查和更新客戶接受政策和客戶識別程式; · 執行KYC盡職調查,並形成風險分析; · 定期向總部草擬合規報告; · 使用最新的監管規則和指南更新內部合規手冊; · 配合部門主管完成合規相關工作; · 完成領導交辦的其他工作。 · Requirement 崗位要求 · 法律、會計、金融專業本科及以上學 ...
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Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Responsibilities: Provide advisory services to business units (including retail banking, corporate banking and global markets) regarding regulatory compliance issues on new products/ services and business propositions · Participate and assist in regulatory compliance-related pro ...
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The Bank of East Asia Hong Kong, 香港 全职Responsibilities · Prepare annual compliance review plan · Conduct compliance reviews and self-assessments · Prepare regular management reports on compliance updates and issues · Provide recommendations to strengthen the Bank's control framework and follow up the implementation ...
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Zurich Insurance Company Ltd. HongKong, 香港Assist the Head of Compliance to promote ethical and proper business practices. Support in development, implementation and monitoring of compliance programs and training. Provide compliance advice to business units. And assist in counseling the business on matters of risk affecti ...
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Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Responsibilities:Formulate and update compliance risk and KYC policies and procedures in light of the latest regulatory requirements and market practices · Provide advice to frontline and other relevant units on compliance risk and KYC related matters · Conduct and improve transa ...
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Ashford Benjamin Ltd Hong Kong, 香港 全职Responsibilities: · Responsible for compliance program, policies and procedures · Identify, monitor, and communicate regulatory changes trends and proposals to senior management · Review marketing materials and products, · Liaise with securities regulators and preparing regulato ...
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Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Responsibilities:Provide advice to the business units regarding regulatory compliance issues on general banking products/ services (including deposit, loans, credit cards, fintech projects) and business propositions · Assist the business units in evaluating the risk involved in a ...
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The Bank of East Asia Hong Kong, 香港 全职Ri · Responsibilities · Monitor the compliance matters related to the operations of pension and trust businesses · Ensure the relevant legislation, rules and guidelines are complied with all applicable regulations, rules, codes, guidelines and standards set by regulators and the ...
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X-Giants International Hong Kong Limited Hong Kong, 香港 全职Compliance Manager/Senior Manager · Responsibilities: · Compliance Policy and Procedures: Develop and update the company's compliance policies and procedures to ensure business activities comply with national and regional financial regulatory laws. · Regulatory Agency Communicati ...
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Omni Group Asia Ltd. Hong Kong, 香港 全职Responsibilities · Responsible for regulatory compliance matters pertaining to insurance product offerings, sales, and distribution. · Develop and oversee robust compliance programs that effectively address market conduct, regulatory requirements, and internal policies. · Ensure ...
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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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AXA Group Hong Kong, 香港 全职Manager, Corporate Compliance · Major Job Responsibilities: · The role supports Chief Compliance Officer to ensure the company's Personal Data Privacy Policy and the relevant control measures are in place to comply with the data privacy requirements of HK, Macau and China, and ...
Compliance Manager - 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.
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
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