Chief Compliance Officer Securities Services

1 week ago


Hong Kong Island, Hong Kong SAR China The Bank of East Asia, Limited (BEA) Full time

Job Description:

The Role

We are seeking a highly experienced Senior Talent Acquisition Manager to join our team at The Bank of East Asia, Limited (BEA). As a key member of the Securities Services Department, you will play a vital role in ensuring the department's compliance with regulatory requirements.

In this dynamic position, you will be responsible for reviewing promotional materials, research reports, and publications from a local compliance perspective. You will also assist in presenting in monthly meetings with Central Compliance Department and Financial Crime Compliance Department.

Your primary objective will be to ensure that all procedures are in compliance with all policies, rules, guidelines, and requirements prescribed by regulators as well as the Bank. This includes reporting and monitoring operational incidents and performing risk and control self-assessments for the department.

You will also assist in coordinating with other departments for internal audits and regulatory inspections. Furthermore, you will provide risk management and 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


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