Compliance Manager

2 months ago

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

About Hang Seng Investment Management Limited

Hang Seng Investment Management Limited is a leading asset management company in Hong Kong, specializing in Hong Kong and China markets. We offer a comprehensive range of investment products to retail and institutional investors.

Job Summary

We are seeking a high-caliber Compliance Manager to join our team. The successful candidate will be responsible for fostering a positive culture of compliance, 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 applicable laws, rules, regulations, and internal policy.

Key Responsibilities

  • 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 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 coordination 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 analyzing a large volume of information and/or data and provide succinct summary for management.
  • Experience of working within a matrixed environment, 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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