Senior Regulatory Compliance Manager
HSBC Group
Hong Kong, China


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.

Senior Regulatory Compliance Manager, Retail Banking and Wealth Management (Investment)

Regulatory Compliance

  • Regulatory Compliance - providing proactive assistance in identifying, assessing and containing Compliance Risk; fostering a compliance culture;
  • optimizing relations with regulators; and preserving the Bank's reputation in the marketplace by ensuring that our policies comply with the spirit and letter of the laws and regulations wherever we do business.

    We are currently seeking high caliber professionals to join our department as Senior Regulatory Compliance Manager, Retail Banking and Wealth Management (Investment) .

    Principal responsibilities

  • Provide compliance advice for the Bank’s businesses on retail banking and wealth management, brokerage and research to ensure full compliance with the relevant regulatory requirements and Group Standards
  • Provide recommendations to ensure that exposure to regulatory risks / issues are managed in a practical and effective manner
  • Working with the Head of Regulatory Compliance, RBWM & Asset Management and the relevant stakeholders to create an effective Compliance plan to manage the identified risks and develop solutions for mitigation
  • Review and advise on the rules / regulations / consultation papers issued by regulatory authorities
  • Assist in fostering the compliance culture of the Bank.
  • Support the implementation and oversight of the businesses' policy and governance frameworks, procedures, practices and standards to ensure quality, effective risk management and regulatory compliance
  • Requirements

  • A recognized University degree in Accounting, Law, Risk Management, and / or related discipline
  • Significant regulatory and / or compliance exposure on retail banking and wealth management services with at least 8 years relevant experience.
  • Sound knowledge of rules, regulations and statutory requirements from the HKMA, SFC, HKEx and other regulatory bodies.
  • Strong communication and inter-personal skills, with experience of dealing with executives at all levels including the capacity to articulate the case for risk management and policy in the language of business.
  • Experience of dealing with regulatory matters and confident interaction with Regulators.
  • Experience of leading and motivating a team.
  • Great sense of ownership and servicing mindset to ensure efficient and effective customer service processes
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