Risk & Compliance Manager - Securities Services Department
3 days ago
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Direct message the job poster from The Bank of East Asia, Limited (BEA)
Senior Talent Acquisition Manager, The Bank of East AsiaPosition 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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