Compliance Manager, Investment Products
Established on January 12, 1996 in Beijing, China Minsheng Banking Corporation (“CMBC”) is the first national joint-stock commercial bank with shares mainly owned by non-state-owned enterprises. As the pilot in the reform of China’s banking sector, CMBC has made significant explorations in reform, management, innovation and development, and achieved notable success as evidenced by rapid and healthy growth in the past 17 years. CMBC is listed on the Shanghai Stock Exchange and the Hong Kong Stock Exchange and it operates over 700 entities nationwide including 33 branches. CMBC was ranked No.62 in the top 1000 world banks by The Banker in 2012.
To cope with a rapid expansion in CMBC Hong Kong Branch, we are now inviting high caliber candidates to apply for the following positions:
Compliance Manager, Investment Products
Main Responsibilities
- Report to Head of Legal and Compliance and advise management and relevant business units on compliance issues related to investment products
- Establish compliance programs to ensure operations are in compliance with regulatory requirements
- Conduct regular compliance reviews and checking on client investment suitability management, staff dealing, individual and corporate licensing, account-opening
- Liaise with local regulators namely SFC and HKMA
- Develop, update and review compliance policies and guidelines
- Review policies and procedures prepared by other departments and provide input to ensure compliance with applicable legal and regulatory requirements
- Promote compliance awareness and culture of the bank, including development and delivery of compliance trainings
- Establish compliance programs to ensure operations are in compliance with regulatory requirements
- Perform ad-hoc compliance projects
Requirements
- Degree holder in law, finance, accounting or related disciplines
- Minimum 5-7 years of relevant experience in banking industry, preferably with private banking experience
- Well-versed with rules and regulations related to banking and financial institutions
- Sound knowledge in SFC rules for regulated activities
- Good understanding of banking operations and familiar with investment products such as equities, collective investment scheme, derivatives, structured products, etc.
- Good analytical, interpersonal and communication skills
- Fluent in Mandarin and English with the ability to read and write Chinese
Remuneration
CMBC offers competitive remuneration package and promising career opportunities to the successful candidates.
Apply Method
Interested parties, please send full resume (both in English and Chinese) with current and expected salary and the date of availability to cmbchkhr@cmbc.com.cn. Please quote your name and the job position in the subject of your email.Information provided will be treated in strict confidence and only be used for recruitment purpose.
Welcome to learn more about China Minsheng Bank at www.cmbc.com.cn
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