Deputy Manager to Senior Manager, Product Compliance, CUD

  • Hong Kong
  • Permanent
  • Full-time
  • 17 hours ago
Industrial and Commercial Bank of China (Asia) Limited (“ICBC (Asia)”) is the flagship of overseas business of Industrial and Commercial Bank of China Limited (“ICBC”) – currently the largest commercial bank in China, and it is one of the domestic systemically important banks (D-SIBs) in Hong Kong. Currently, ICBC (Asia) has 52 retail outlets (including 27 “Elite Club” Wealth Management Centres) in Hong Kong. It is engaged in commercial banking, investment banking and other financial services, including those of securities, insurance and funds, with a focus on commercial and retail banking as well as global market business. Chinese Mercantile Bank and ICBC Asset Management (Global) Company Limited, two wholly-owned subsidiaries of ICBC (Asia), specialize in Renminbi services in mainland China and ICBC’s global asset management business respectively.Job Responsibilities
  • Provide compliance advice to ensure compliance with relevant regulatory requirements
  • Review procedures and manuals to ensure changes of controls of internal policies and regulations are documented and effectively implemented
  • Develop and update compliance policies and and procedures based on updated regulatory requirements and new business
  • Perform compliance review and checking, oversight on operation of custody, trustee or fund administrator and delegated service generally, including performing regular review/control testing in relation to the custody/trustee/fund administration business in accordance with internal policies and applicable regulations
  • Perform risk and compliance related tasks required by group policies, such as KRI and KRA reviews and regular reporting, etc.
  • Identify breaches, risks and other matters and provide advice to internal parties and/or clients on matters in fiduciary aspects for rectification/escalate report in timely manner
  • Act as consulting point to provide advise to the members of custody service department in relation to risk and compliance matters
  • Other tasks as assigned by the management from time to time
Job Requirements
  • Degree holder in Law/Business/Economics
  • At least 5 years of custody and trustee business compliance related experience covered compliance monitoring on Custodian operation and SFC unit trust business
  • Good knowledge of regulations, rules and statutory requirements of SFC regulated activities
  • Good knowledge of custody products, public/private collective investment schemes, HongKong-Mainland interconnection products
  • Good understanding of Fund/Investment Strategies and related rules of risk
  • Proficient in both spoken and written English and Chinese
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