Industrial and Commercial Bank of China (Asia) Limited
Compliance Manager, Securities Business Department
Hung Hom, Kowloon City DistrictFinance
About the role
FinEx AI summary
Monitors securities business operations for compliance with HKMA, SFC and other regulations, and advises business units on securities products, transactions and marketing materials. Conducts risk assessments, regulatory gap analysis, incident investigations and compliance training, collaborating with business and group compliance teams.
Core skills
Securities ComplianceRegulatory ComplianceHKMA RegulationsSFC RegulationsBanking OrdinanceSecurities and Futures Ordinance (SFO)
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