AVP, Compliance Advisory and Regulatory Management, Internal Control and Legal &

The Role AVP, Compliance Advisory and Regulatory Management, Internal Control and Legal & Compliance Key Accountabilities This replacement role is responsible for supporting the Core Compliance team on regulatory compliance function, including but not limited to, regulatory filing and reporting, internal reporting on compliance issues, and compliance advisory projects, etc. The role is also partially responsible to support the team in providing compliance advice to certain lines of business, including, commodities, fixed income, structured products related projects. Detailed job duties include: Regulatory Compliance : Liaise with regulators (including the SFC, Insurance Authority), manage and handle inquiries from the regulators. Coordinate with internal stakeholders to resolve regulators’ enquiries. Manage regulatory reporting and filings (including licensing matters), monitor and interpret regulations development and updates. Draft and review of key compliance and governance documents, including business plans and notifications, operation manuals, sales and marketing guidelines, internal control guidelines and internal compliance policies. Review and advise on operational workflows, internal control and corporate governance. Conduct regular risk reviews and assessments on compliance risk, control and issue profile. Actively manage and resolve issues, identifying opportunities to enhance and optimize the firm’s policy and procedures in compliance management. Support and provide business compliance advice on regulatory interpretation and compliance issues in the business lines, including new businesses, products/ services and infrastructure initiatives from regulatory compliance, governance and best practice perspective. Other Compliance functions Deliver training, knowledge communication to support the internal departments. Promote a strong culture of compliance across the group. Support and handle internal reporting and projects assigned by the Head Office, including connected transactions, segregation of duties, commission management, etc. Assist in ad hoc projects as required by team leader and management. Skills & Experience Degree holder in Business, Finance, Law, or other related disciplines; Minimum 6 years of hands-on compliance experience in securities brokerage companies/ regulatory compliance or financial institutions; Candidates with over 2 years of full time working experience in Hong Kong or overseas is considered as an advantage; Sound technical knowledge of investment products, including commodities, fixed income and structured products, wealth management and securities business operations; Robust and solid understanding of SFC Code of Conducts, licensing and relevant regulatory policies and requirements; Experience in business compliance advisory and new product/ business review is an advantage; Proficiency in written and spoken Mandarin, English and Cantonese is a must; Organized and detailed-oriented; Excellent communication and presentation skills; Proactive working attitude, strong and collaborative team; Responsible, hardworking, well-organized and able to work under pressure. Other Information Please apply in strict confidence with full resume, academic record, current and expected salaries; The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months; Candidates with Enhanced Competency Framework (ECF): please state on the CV. About BOCI As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCI”), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career for supporting our group.