Compliance Manager (Financial Institution) (HK$45K - $60K) (Ref. No.: 25869)

Our client, a Financial Institution, is looking for high-caliber person to fill the position.

工作职责

Oversee general compliance for Type 1, 4, 9 licenses
Ensure daily operations comply with Hong Kong SFC and/or other regulatory requirements
Handle regulatory requests, inquiries and examinations in a proper and timely manner
Review, revising and drafting internal manuals, policies and procedures to ensure in compliance with rules and regulation of the SFC
Conduct AML/KYC checking and other necessary investigations
Prepare compliance training to staff
Perform ad-hoc assignments as assigned

工作要求

Bachelor’s Degree or above
At least 4 years of General Compliance experience in SFC licensed corporations
Sound knowledge in rules and regulations administered by the SFC, market practices, financial products as well as securities business
Able to work independently, self-motivated with strong sense of responsibility
Excellent command in spoken and written English and Chinese (including Putonghua)
Candidates with more experience will be considered Senior Manager

职位空缺搜寻