Business Compliance Manager for Investment Platforms
2 weeks ago
Hang Seng Bank is committed to delivering exceptional service excellence. As our most valuable asset, our people play a vital role in enhancing performance for customers and providing top-notch products and services.
We seek talented professionals who can thrive in a dynamic environment with opportunities for growth, competitive compensation packages, and a collaborative culture.
The Investments and Wealth Solutions division offers a comprehensive range of investment products and services catering to various customer segments across channels. Our team distributes investment funds managed by renowned fund managers covering different asset classes, regions, and instruments.
We provide structured products with underlying linked to equities, FX rates, interest rates, and investment funds, allowing investors to pursue diverse objectives. Additionally, we offer fixed income instruments, certificates of deposit, exchange-traded equities, margin trading services, and investment financing solutions to cater to sophisticated investors.
In this key role, the Senior Business Compliance Manager will be responsible for ensuring compliance with relevant laws, regulations, and group policies. Key responsibilities include:
- Staying up-to-date with regulatory requirements and identifying their impacts on business processes
- Providing business compliance support to the Investment business, ensuring adherence to regulatory guidelines and group policies
- Collaborating with business teams and risk stewards to perform gap analysis on regulatory circulars, surveys, and group policy frameworks
- Serving as the primary liaison with internal/external audit, regulatory, and compliance reviews, articulating findings and recommendations to management
- Developing and implementing quality enhancement initiatives in response to review findings, business initiatives, regulatory updates, and group policies
To excel in this position, you should possess:
- A university degree in Finance, Business Administration, Economics, or a related discipline
- A seasoned professional with 10 years of experience in banking/financial services, with expertise in risk & compliance roles
- Strong knowledge of investment products, including investment funds, structured products, bonds, investment FX, and cross-border investment schemes
- Excellent project management and planning skills, with the ability to multitask and drive projects forward
- Demonstrated track record in implementing and overseeing policy and governance frameworks, procedures, and practices
- Strong communication skills, both verbal and written, with experience working with second-line defense or risk stewards in regulatory, risk, and control areas
- Strong leadership skills, with the ability to inspire and engage teams, effect change, and drive regulatory updates
- A great sense of ownership and a servicing mindset to ensure efficient and effective business risk and compliance processes
Estimated Salary: HKD 750,000 - HKD 1,200,000 per annum, depending on experience and qualifications.
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