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Risk and Compliance Manager, Securities Services Department (famous retail bank)

SearchAsia Hong Kong

  • Company Industries:Human Resources Management/Consultancy

Job Information

  • Post Date:2019-01-04
  • Location:Central
  • Salary:Salary negotiable
  • Employment Type:Full Time, Permanent
  • Job Function:Legal & Compliance  Risk Management  

Job Description

Job Description

Risk & Compliance Manager, Securities Services Department

 

  •    Prefer candidates with in internal control or compliance functions of securities or banking industry experience.
  •    Directly report to department head.
  •    There are four persons with the team.
  •    Location: Central, HK.

 

Responsibilities:

  •    To be a team member of Securities Services Department
  •    To preform review and ensure compliance with internal policies/guidelines as well as external regulatory requirements
  •    To prepare reports to management and other departments for compliance and risk management related issues
  •    To co-ordinate monthly meeting with relevant parties in relation to risk management and compliance issues
  •    To assist in developing, updating and reviewing policies, procedures, guidelines from the compliance perspective
  •    To provide support on product compliance in regard to new product launch and review of marketing materials
  •    To handle ad hoc tasks assigned by the supervisor

 

 

Requirements

  •    University graduate, preferably in Finance/Risk Management or related disciplines
  •    Minimum of two years’ experience in internal control or compliance functions of securities or banking industry
  •    Good understanding of relevant policies, procedures, practices and rules issued by HKMA, SFC, HKEX and other regulatory bodies
  •    Self-motivated, target oriented and able to work under pressure
  •    Strong interpersonal and communication skills
  •    Proficiency in both spoken and written English and Chinese, Putonghua a plus

 

 Candidates who are interested, please include your current salary, expected salary and availability in your latest resume and send it to darric.lee @searchasia.com.hk

 

 

Company Info

100% Client Focused, Proven Trust & Integrity

SearchAsia is a prominent human capital consulting firm with a strong Asia Pacific presence.

Our commitment to our clients is to go beyond recruitment and into business partnership; we take pride in representing our clients and are proactive in participating in your growth. By providing thought leadership and guidance, we assist our business partners to navigate and manage the lucrative, but highly complex and uncertain, markets of Asia Pacific.

To our candidates, we believe in forging long-term relationships with you beyond providing career opportunities. Our consultants strive to have a complete understanding of every candidate's needs, career objectives and motivations, and continue to help you build and manage your careers.

All information would be treated with strictest confidence. We regret that only short-listed applicants would be notified

More job opportunities are available at our website: www.searchasia.com.hk

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