Business Compliance Manager | 人才服务办公室

职位描述

A Career with Hang Seng Bank

Hang Seng is committed to service excellence. Our people are our most important asset and play a vital role in our efforts to continually enhance our performance for customers and provide best-in-class products and services. We seek to attract high-calibre talent by offering a dynamic working environment, good career development opportunities and competitive compensation packages.

Investments and Wealth Solutions

Hang Seng's Investments and Wealth Solutions offers a full spectrum of investment products and services to our Wealth and Personal Banking customers, from high-net-worth to mass segments across channels. We distribute investment funds managed by top tier fund managers covering different types of funds, across regions and asset classes. A wide range of structured products with underlying linked to equities, FX rates, interest rates, investment funds, etc. are offered for investors to pursue different investment objectives. We also offer fixed income instruments and certificates of deposit to customers who look for regular coupon payment. Besides, we have securities services covering exchange traded equities in local and overseas markets offered through a wide variety of trading channels. Margin trading services covering FX and securities, and investment financing service provides extra liquidity and purchasing power to cater for investment needs from sophisticated investors.

We are seeking a high caliber to join us as Business Compliance Manager.

Principal Responsibilities

• Keep abreast of relevant group guidelines as well as regulatory requirement and identify their impacts and necessary controls on the business processes
• Lead and provide business risk and compliance support to Investment business to ensure compliance with the relevant laws, rules, codes, regulations and guidelines set by regulators and HSBC Group (the “Group”)
• Work with business teams and risk stewards to perform gap analysis on regulatory circulars/surveys and the Group’s policy and governance framework
• Act as the key liaison with different businesses and functions on internal/ external audit/ regulatory/ compliance reviews and articulate the findings and recommendations to management
• Propose and implement quality enhancement and control strengthening initiatives in response to the review findings, business initiatives, regulatory update and Group policies update
• Ensure appropriate governance and execution plans are in place, and articulate and report the progress update of respective reviews for management and risk oversight

Requirements

• University degree in Finance, Business Administration, Economics or related discipline
• Seasoned professional with 8 years of experience in banking/financial services industry with exposure in risk and compliance roles. Experience in performing gap analysis on regulatory circulars, or participate in internal/external audit review would be an advantage
• Strong knowledge of investment products such as investment funds, structured products, bonds, investment FX and cross-border investment schemes/ relevant initiatives preferred
• Strong project management and planning skills with the ability to multi-task driving projects
• Demonstrated track record in the implementation and oversight of policy and governance frameworks, procedures, practices
• Strong communication skills both verbal and written, experience of having worked with second line of defense or risk stewards in regulatory, risk and control areas
• Strong leadership skills, demonstrating capability in leading team to inspire and engage people and effect change to regulatory update
• Great sense of ownership and servicing mindset to ensure efficient and effective business risk and compliance process
• Proficiency in both English and Chinese

Visit Hang Seng Career Page and sign up with our Talent Community to receive the latest information about our career opportunities in Hang Seng Hong Kong.

All information provided by applicants will be used only for recruitment purposes and will be used strictly in accordance with the Bank's personal data policies, a copy of which may be obtained by the applicant upon request. Unless otherwise instructed in writing by the applicant concerned, applicants may be considered for other suitable positions within the Bank and its related companies. The personal data of unsuccessful job applicants may be retained for a maximum of two years from the date when the job application is rejected and such data may be retained for a longer period if there is a subsisting reason that obliges the Bank to do so, after which the personal data will be destroyed.