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Compliance Manager

4 weeks ago

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

About Hang Seng Bank

Hang Seng Bank is committed to service excellence and seeks to attract high-calibre talent by offering a dynamic working environment, good career development opportunities, and competitive compensation packages.

Hang Seng Investment Management Limited

Established in 1993, Hang Seng Investment Management Limited is a wholly-owned subsidiary of Hang Seng Bank Limited and one of the largest Hong Kong homegrown asset management companies. We specialize in Hong Kong and China markets and offer a comprehensive range of investment products.

Job Summary

We are seeking a high-calibre professional to join our department as a Compliance Manager. The successful candidate will be responsible for fostering a positive culture of compliance, working proactively with the business line, and ensuring 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.
  • 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.
  • 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 co-ordination 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, or 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.
  • 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 analysing a large volume of information and/or data and provide succinct summary for management.
  • Experience of working within a matrixed environment preferred, 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.