Risk & Compliance Manager - Securities Services Department

3 days ago


Hong Kong, Central and Western District, Hong Kong SAR China The Bank of East Asia, Limited (BEA) Full time

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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

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