Head of Compliance

1 day ago

Hong Kong, Hong Kong SAR China Hang Seng Bank Limited Full time
Job description
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 ("Hang Seng Investment") is a wholly owned subsidiary of Hang Seng Bank Limited, and is Hong Kong No. 1 exchange-traded fund ("ETF") manager in terms of assets under management. As a Hong Kong based asset management company specializing in managing funds related to mainland China and Hong Kong markets, Hang Seng Investment is committed to providing investors with comprehensive investment management services through investment managers with extensive experience in managing funds (including a series of ETFs and retail funds) and investment portfolios for institutional and private clients. As a leading home-grown asset manager in Hong Kong, Hang Seng Investment has over 30 years of asset management experience.

We are seeking a high caliber to join us as Head of Compliance, Hang Seng Investment Management Limited.

Principle Responsibilities
  • A key strategic compliance role that has a broad remit and responsibilities for leading implementation and management with guidance from HSVM CEO/HASE CRCO, of all aspects of Regulatory Compliance and Financial Crime Compliance including impact analysis of regulatory changes, and driving coordination and execution of the various Regulatory Compliance (Business Compliance and Investment Compliance) and Financial Crime Compliance work streams and assurance in HSVM, while ensuring alignment with Global Standards.
  • Strong partnership with the Hang Seng (HASE) RC and FCC business and HSVM leadership team, interfaces with both RC and FCC Risk and, General Compliance, Business as well as Investment Compliance (includes investment and trade surveillance) and has responsibility for driving the implementation of policy arising out of Global Standards Committee. It will monitor and track the progress of various work streams and initiatives underway which fall under the umbrella of Regulatory Compliance Risk, Financial Crime Compliance Risk and Global Standards, provide policy advice related to HSVM products, services and clients, and ensure that the Regulatory Compliance and Financial Crime Compliance functions are resourced adequately to address the risks associated with all global business in HSVM.
  • Stay at the forefront of regional regulatory changes to ensure proactive communication with HSVM business owners and develop appropriate policy and framework to manage the changes in HSVM. It will be the RC and FCC go-to person for both Global Standards and RC and FCC workstream leads to ensure processes are coordinated and implementation risks and issues are considered and addressed.
  • Strong partnership with business to drive and accelerate the execution of Regulatory, Financial Crime and Business Compliance programmes that directly impact HSVM business performance. This role is accountable for the implementation of Regulatory Compliance (Business and Investment Compliance) and Financial Crime Compliance policies into the HSVM business and as such it will require close collaboration with various RC and FCC Risk and Business functions in HASE. The role will be a member and participate actively in the HASE governance committees.
  • The position will be the 'Manager-in-Charge' of HSVM in the Compliance and Anti-money Laundering & Counter Terrorist Financing core functions under the SFC's Manager-in-Charge Regime
Requirements
  • Significant leadership experience and a strategic thinker in asset management business.
  • Excellent communication and inter-personal skills, with experience of dealing with executives at all levels including the capacity to articulate the case for compliance and risk management and policies in the language of business.
  • Ability to develop practical, cost-effective solutions to complex regulatory compliance issues within asset management business.
  • Experience of dealing with regulatory matters and confident interaction with regulators on asset management business.
  • Experience of creating, leading and motivating a team.
  • Experience of interpreting and analysing a large volume of information and / or data and provide succinct summary for senior management. Experience on Investment Compliance (i.e. investment and trade surveillance) is also required.
  • Experience of working within a matrixed environment preferred including reporting internationally.
  • Ability to lead a change in contributing to joining up with the other teams in Compliance, Risk and Business globally.
Visit Hang Seng Career Page and sign up with our Talent Community to receive the latest information about our career opportunities in Hang Seng Hong Kong.
#LI-HASE

  • Head of Compliance – Executive Director

    1 day ago

    Hong Kong, Hong Kong SAR China HARBRIDGE PARTNERS Full time

    Responsibilities: Act as HK Compliance head and oversee compliance activities in HK. Contribute to regional compliance oversight in Australia and Singapore. Work as a senior management and manage a wide range of regulatory matters by providing professional compliance advice to the business function and top management on new business initiatives and...

  • HSBC | Regional Head of Surveillance Asia Pacific

    1 week ago

    hong kong, Hong Kong SAR China HSBC Full time

    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 direction, HSBC offers opportunities, support and rewards that will take you...

  • Head of Regulatory Compliance

    1 hour ago

    Hong Kong, Hong Kong SAR China Hays Full time

    Head of Regulatory ComplianceYour new company The Head of Regulatory Compliance will be responsible for leading the compliance function. This role involves ensuring that all banking operations adhere to relevant regulatory requirements and internal policies. The ideal candidate will provide strategic compliance advice, manage regulatory relationships, and...

  • VP, Head of Control Room, Legal

    1 week ago

    Hong Kong, Hong Kong SAR China BOC International Full time

    The Role VP, Head of Control Room, Legal & Compliance Division Key Accountabilities Responsible for the development and implementation of appropriate compliance process, systems and controls for the Control Room and investment banking / corporate financing (IBD) function, including staff dealing policy and monitoring, maintenance of watch and restricted...

  • AML Compliance Manager

    1 day ago

    Hong Kong, Hong Kong SAR China The Bank of East Asia Full time

    AML Compliance Manager (AML Investigation & Fraud Section) - Financial Crime Compliance Department (Job ID 4136) Position Summary Assisting in handling the AML/CFT ongoing monitoring compliance function for the Bank including investigation and analysis of financial transactions to detect and report suspicious transactions to the relevant law enforcement...

  • Corporate Compliance, Principal

    1 day ago

    Hong Kong, Hong Kong SAR China AIA International Limited. Full time

    FIND YOUR 'BETTER' AT AIA We don't simply believe in being 'The Best'. We believe in better - because there's no limit to how far 'better' can take us. We believe in empowering every one of our people to find their 'better' - in the work they do, the career they build, the life they live and the difference they make. So that together we can support even...

  • Compliance Specialist – FCC Surveillance, Transaction Monitoring

    1 day ago

    Hong Kong, Hong Kong SAR China Bank of Singapore Full time

    MAIN DUTIES Identify, research for and investigate the patterns, trends and anomalies in complex transactional and customer data to detect, prevent, mitigate and report suspicious activity related to money laundering, terrorist financing and structuring. Perform transaction monitoring after account activation; ensure timely escalation of alerts and file...

  • Senior Vice President, Head of Monitoring

    7 days ago

    Hong Kong, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time

    Company Introduction: We're home to Asia's most dynamic and vibrant capital markets. Connecting capital, ideas, inspiration and innovation for deeper, more diverse and liquid global capital markets; providing greater choice and opportunity for our customers, each and every day. HKEX is a purpose-driven company. Our commitment to the long-term development...

  • Compliance Director for Asia Pacific Operations

    2 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China HARBRIDGE PARTNERS Full time

    About UsHARBRIDGE PARTNERS is a leading global financial institution committed to delivering exceptional services to our clients.Job Description: Head of Compliance – Executive DirectorThis is an exciting opportunity for a seasoned compliance professional to join our team as Head of Compliance – Executive Director, focusing on Asia Pacific operations....

  • Senior Vice President, Head of Monitoring

    2 hours ago

    Hong Kong, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time

    Company Introduction: We're home to Asia's most dynamic and vibrant capital markets. Connecting capital, ideas, inspiration and innovation for deeper, more diverse and liquid global capital markets; providing greater choice and opportunity for our customers, each and every day. HKEX is a purpose-driven company. Our commitment to the long-term development...

  • Senior Dealer(Head of Southeast Asia)

    7 days ago

    Hong Kong, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

    Responsibilities: Manage Southeast Asian branches' trading Business. In charge of the risks/ positions/ market making business in Southeast Asia market. Be responsible for supervising, leading and training the subordinates of the trading group Pay attention to the financial market dynamics, provide professional analysis opinions on the adjustment of...

  • Compliance Officer, Regional Compliance, Investment Banking

    1 day ago

    Hong Kong, Hong Kong SAR China Pure Hong Kong Full time

    The Role This is a newly created position, you will be reporting to the Regional Head of Regulatory Compliance in HK, responsible for providing regulatory compliance advice for their capital markets & institutional banking business.  You will be responsible for handling regulators' inquiries, and reviewing new products and new processes according to...

  • Director of Compliance and Risk Management

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China AIA International Limited. Full time

    Compliance and Regulatory FrameworkAIA International Limited seeks a highly experienced Associate Director, Corporate Compliance to support the Head of Compliance in ensuring compliance with Group Policies and local regulatory requirements. The role will involve partnering with other Compliance functional leads to drive and oversee the implementation of a...

  • Associate Director, Private Banking Compliance

    1 day ago

    Hong Kong, Hong Kong SAR China Pure Hong Kong Full time

    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 specialize in their private banking business.  This person will assist the...

  • CLSA | Assistant Manager, Equities Compliance, Compliance

    1 day ago

    hong kong, Hong Kong SAR China CLSA Full time

    Assistant Manager, Equities Compliance Position Description This senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. The Equities Compliance team provides compliance coverage to CLSA Institutional Equities (Sales and Trading) Business and Equities Derivatives Department. Key Areas of...

  • Senior Compliance Officer, Private Banking

    2 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Pure Hong Kong Full time

    About Pure Hong KongPure Hong Kong is a top-tier private bank with a strong presence in Asia.Our Client's Growing TeamWe are currently seeking a smart and driven compliance professional to join our growing HK Compliance Team. As part of this team, you will be responsible for assisting the Head of Compliance in handling regulatory and central compliance...

  • Compliance Manager

    1 day ago

    Hong Kong, Hong Kong SAR China China Re Asset Management (Hong Kong) Company Limited Full time

    Job Description Continuously implement the company’s compliance-related work in accordance with the requirements of the Hong Kong Securities and Futures Commission (SFC), identify and assess relevant compliance risks, and ensure that the company’s business complies with local regulatory requirements. Organize and implement the company’s operational...

  • VP, Private Side Compliance

    1 day ago

    Hong Kong, Hong Kong SAR China Pure Hong Kong Full time

    As an important member of their HK Compliance Team, you will report to the Head of Compliance HK and be responsible for providing compliance advice to the Global Investment Banking Business, compliance advisory for M&A, ECM, DCM, and IPO business, ongoing compliance training for front office staff, and handling regulators' (HKEx & SFC) on-site exams and...

  • Associate Director, Corporate Compliance

    1 day ago

    Hong Kong, Hong Kong SAR China AIA International Limited. Full time

    FIND YOUR 'BETTER' AT AIA We don't simply believe in being 'The Best'. We believe in better - because there's no limit to how far 'better' can take us. We believe in empowering every one of our people to find their 'better' - in the work they do, the career they build, the life they live and the difference they make. So that together we can support even...

  • Associate, Control Room Compliance

    1 day ago

    Hong Kong, Hong Kong SAR China Pure Hong Kong Full time

    The Role As part of an expanding Control Room Compliance Compliance Team, you will be reporting to the Regional Head of Compliance.  You will be responsible for the maintenance of watch lists and restricted lists, renewing and continuing the development of Chinese Wall policies, and handling conflict analysis.  You will be responsible for...