Compliance Manager

  1. Permanent
BBBH182628_1602824567
  1. Hong Kong
  2. Finance
Negotiable
Date posted16/10/2020

Responsibilities:

  • Provide compliance advice and solutions to Group management and business units;
  • Conduct compliance training to business units;
  • Manage and liaise with SFC/HKEX and other regulatory bodies on all compliance related matters/enquiries;
  • Provide day to day regulatory advice and guidance on rules and internal policies including AML and its latest updates, review business processes to ensure compliance with regulatory requirements;
  • Review, update and enhance the compliance frameworks on the Company's various business activities and initiatives;
  • Undertake any ad hoc assignments as required Requirements:

Requirements:

  • Degree holder in Law, Finance or other related subjects;
  • Minimum 4 years of relevant compliance experience in securities institutions;
  • Familiar with Margin Financing, SFC Type 1,2 etc;
  • Presentable, communicative individual preferred;
  • Good command of spoken and written English, Cantonese and Mandarin;

For more information about this role please contact our Hong Kong office

Responsibilities:

  • Provide compliance advice and solutions to Group management and business units;
  • Conduct compliance training to business units;
  • Manage and liaise with SFC/HKEX and other regulatory bodies on all compliance related matters/enquiries;
  • Provide day to day regulatory advice and guidance on rules and internal policies including AML and its latest updates, review business processes to ensure compliance with regulatory requirements;
  • Review, update and enhance the compliance frameworks on the Company's various business activities and initiatives;
  • Undertake any ad hoc assignments as required Requirements:

Requirements:

  • Degree holder in Law, Finance or other related subjects;
  • Minimum 4 years of relevant compliance experience in securities institutions;
  • Familiar with Margin Financing, SFC Type 1,2 etc;
  • Presentable, communicative individual preferred;
  • Good command of spoken and written English, Cantonese and Mandarin;

For more information about this role please contact our Hong Kong office

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