Risk & Compliance Manager - Securities Services Department

2 weeks ago


Hong Kong Island, Hong Kong SAR China The Bank of East Asia, Limited (BEA) Full time

Get AI-powered advice on this job and more exclusive features.

Direct message the job poster from The Bank of East Asia, Limited (BEA)

Senior Talent Acquisition Manager, The Bank of East Asia

Position Summary

Assist Section Head in performing risk & compliance related tasks assigned by Department Head, Group Chief Risk Officer ("GCRO") and Group Compliance Officer and to provide risk management & compliance training to relevant staff members in order to promote and enhance risk & compliance culture and governance in the department as well as to ensure compliance with regulatory requirements in relation to securities services to be provided to general customers.

Responsibilities

  • Review promotional materials, research reports and publications from local compliance perspective
  • Assist in presenting in monthly meeting with Central Compliance Department and Financial Crime Compliance Department
  • Assist in ensuring all procedures are in compliance with all policies, rules, guidelines, requirements prescribed by regulators as well as the Bank
  • Assist in reporting and monitoring of operational incidents
  • Performing risk and control self-assessment for the department
  • Assist in coordinating with other departments for internal audits and regulatory inspections
  • Provide risk management & compliance training to relevant staff members

Requirements

  • University graduate, preferably in business, finance
  • 5 - 6 years of working experience in banking, finance or securities sector
  • Sound knowledge in branch operations, products and services
  • Good understanding of relevant policies, procedures, practices and rules issued by HKMA, SFC, HKEX and other regulatory bodies
  • Relevant HKIB qualification would be an advantage
  • Target oriented and able to work under pressure
  • Strong interpersonal and communication skills and risk awareness
  • Proficiency in both spoken and written English and Chinese, fluent in Putonghua is preferable

Seniority level: Mid-Senior level

Employment type: Full-time

Job function: Legal

Industries: Banking

#J-18808-Ljbffr

  • Hong Kong Island, Hong Kong SAR China The Bank of East Asia, Limited (BEA) Full time

    Job DescriptionThe Bank of East Asia, Limited (BEA) is seeking a seasoned Risk & Compliance Manager to join our Securities Services Department. This is a critical role that requires a professional with expertise in risk management and compliance.Key Responsibilities:Review and analyze regulatory requirements and industry developments to ensure the department...


  • Hong Kong Island, Hong Kong SAR China The Bank of East Asia, Limited (BEA) Full time

    Job Details:About the PositionThe Bank of East Asia, Limited (BEA) is seeking a highly skilled Senior Risk and Compliance Professional to join its Securities Services Department. In this critical role, you will be responsible for ensuring the department's compliance with regulatory requirements and Bank policies.As a key member of the team, you will review...


  • Hong Kong Island, Hong Kong SAR China The Bank of East Asia, Limited (BEA) Full time

    Job Description:The RoleWe are seeking a highly experienced Senior Talent Acquisition Manager to join our team at The Bank of East Asia, Limited (BEA). As a key member of the Securities Services Department, you will play a vital role in ensuring the department's compliance with regulatory requirements.In this dynamic position, you will be responsible for...


  • Hong Kong Island, Hong Kong SAR China The Bank of East Asia, Limited (BEA) Full time

    Job Overview:About the JobThe Bank of East Asia, Limited (BEA) is a leading bank in Hong Kong, and we are looking for a seasoned professional to join our team as a Senior Risk and Compliance Manager in the Securities Services Department.This role involves ensuring that all activities within the department are in compliance with regulatory requirements and...


  • Hong Kong Island, Hong Kong SAR China Infini Capital Full time

    About the Job:We are seeking a Compliance and Risk Manager to join our team at Infini Capital. This is a unique opportunity to utilize your expertise in corporate governance, compliance, and risk management to drive business growth and minimize potential risks.Your primary responsibilities will include conducting thorough legal research, analyzing complex...


  • Hong Kong, Central and Western District, Hong Kong SAR China KOS International Limited Full time

    KOS International Limited is seeking a highly experienced professional to join our team as Head of Security Governance & Technology Risk.This is a newly established senior leadership position, tasked with assisting the department head in implementing robust and best practices of security governance, risk, and compliance procedures within the Technology...


  • Hong Kong, Central and Western District, Hong Kong SAR China China Securities (International) Finance Holding Company Limited Full time

    At China Securities (International) Finance Holding Company Limited, we are seeking a highly skilled Senior Risk Management Specialist to join our Investment Banking Department. As a key member of the team, you will be responsible for ensuring the highest quality control and risk management practices in all transactions.Key Responsibilities:Develop and...


  • Hong Kong, Central and Western District, Hong Kong SAR China Links International Full time

    About Links InternationalWe are a leading global recruitment agency with offices across Asia Pacific.Job Title: IT Compliance ManagerThe IT Compliance Manager will be responsible for developing and implementing IT compliance programs across various business units to ensure regulatory compliance and mitigate risks.Key ResponsibilitiesCompliance Reporting:...


  • Hong Kong Island, Hong Kong SAR China Classy Wheeler Limited Full time

    Fast-growing software house and IT solutions provider in Hong Kong.Job OverviewWe are seeking an experienced Information Security Risk Manager to join our team. This is a key leadership role that requires expertise in developing and implementing effective information security policies, guidelines, and standards.The successful candidate will be responsible...


  • Hong Kong Island, Hong Kong SAR China Classy Wheeler Limited Full time

    Classy Wheeler Limited is a leading financial services group in Hong Kong, committed to excellence in regulatory compliance and risk management. We are seeking a highly skilled Risk Management and Compliance Specialist to join our team, responsible for ensuring that our company remains compliant with all regulatory requirements.Key ResponsibilitiesMonitor...


  • Hong Kong, Central and Western District, Hong Kong SAR China PrimePeak Group Full time

    Job DescriptionWe are seeking an experienced Cyber Security Risk Manager to join our team at PrimePeak Group. This role is critical in ensuring the company's IT infrastructure, cybersecurity frameworks, and digital transformation initiatives are aligned with regulatory standards and best practices.Responsibilities:Develop and execute a strategy to assess...

  • Compliance Officer

    2 days ago


    Hong Kong Island, Hong Kong SAR China ALL-STAR AGENCY Full time

    Risk Management ProfessionalWe are seeking a mid-senior level Risk Management Professional to join our client's Risk Management Department as a Vice President of Risk Control and Compliance. The successful candidate will be responsible for leading initiatives to enhance the bank's risk governance framework and ensuring compliance with regulatory...


  • Hong Kong Island, Hong Kong SAR China Noah Holdings Full time

    We are looking for a Director of Compliance Risk Management to join our team at Noah Holdings. This role requires expertise in identifying and mitigating compliance risks associated with investment products.Primary Responsibilities:Collaborate with internal departments to identify and mitigate compliance risks.Develop and implement effective compliance...


  • Hong Kong Island, Hong Kong SAR China SinoPac Securities (Asia) Limited Full time

    We are seeking a seasoned Financial Institution Compliance Manager to oversee our compliance programs and procedures.Key Responsibilities:Develop and implement effective compliance programs and proceduresConduct regular audits and risk assessments to identify potential areas for improvementLiaise with government bodies and handle regulators' enquiries,...


  • Hong Kong Island, Hong Kong SAR China SinoPac Securities (Asia) Limited Full time

    Job Overview:SinoPac Securities (Asia) Limited is seeking a skilled Legal & Compliance Officer to join our team.Key Responsibilities:Provide compliance advice and solutions to management and departmentsDevelop, draft, and review business contracts, agreements, announcements, notices, correspondence, account opening documents, marketing materials, board...


  • Hong Kong Island, Hong Kong SAR China CLSA Full time

    We are seeking a Risk and Compliance Manager to join our team at CLSA. As a key member of our Financial Crime Compliance team, you will contribute to the development of policies and procedures to ensure effective identification and monitoring of suspicious activities and transactions.About the Job DescriptionThe successful candidate will have strong...


  • Hong Kong Island, Hong Kong SAR China St. James's Place – Asia & Middle East Full time

    Job OverviewWe are seeking a highly experienced Senior Compliance Officer to join our team at St. James's Place – Asia & Middle East. As a key member of our Compliance department, you will play a critical role in ensuring the company's compliance with regulatory requirements and maintaining a strong risk management culture.Responsibilities:Regulatory...

  • IT Security Manager

    2 weeks ago


    Hong Kong Island, Hong Kong SAR China Classy Wheeler Limited Full time

    Fast-growing software house and IT solutions provider in Hong KongJob DescriptionResponsible for the development of the company IT Security and technology risk related policies, guidelines and standards operating proceduresParticipate in internal regular security assessment and compliance review activitiesPerform vulnerability scanning and penetration test,...


  • Hong Kong Island, Hong Kong SAR China Ashford Benjamin Full time

    Compliance Risk Management PositionAshford Benjamin is a reputable recruitment agency dedicated to providing top talent to our clients. We are currently seeking a skilled Compliance Risk Manager to join our team.In this role, you will be responsible for providing regulatory compliance advisory services to APAC businesses, with a focus on identifying and...


  • Hong Kong Island, Hong Kong SAR China The Bank of East Asia, Limited (BEA) Full time

    Role Overview:About the CompanyThe Bank of East Asia, Limited (BEA) is one of the largest banks in Hong Kong, providing a wide range of financial services to its customers. We are currently seeking a highly skilled Senior Risk and Compliance Specialist to join our Securities Services Department.As a key member of the team, you will be responsible for...