職位空缺
提交簡歷

Compliance Manager / Senior Manager (SFC Type 1,4,9 business) (HK$55K - $75K) (Ref. No.: 27143)

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

工作職責

  • Assist in SFC’s Type1, 4 and 9 licenses matters
  • Draft and review documents related to SFC’s Type1, 4 and 9 licenses
  • Review marketing materials
  • Make sure marketing activities in different jurisdictions comply with local laws
  • Draft and review investment management agreements for managed accounts
  • Review research reports and investment recommendations
  • Organize compliance training
  • Monitor personal trading by staff
  • Investor onboarding (PI confirmation, AML/KYC, suitability assessment)
  • Work with IT to automate certain compliance procedures

工作要求

  • 5-8 years of relevant experience in compliance roles
  • Prefer experience with SFC’s Type1, 4 and 9 licenses
  • A degree in law preferred but not required
  • Proactive and capable of working independently
  • Fluent in Mandarin is a must
職位編號:
27143
日期:
27/12/2024
工作類別:
銀行業
薪金範圍:
HK$55K - $75K
學歷要求:
Degree
聯絡電郵:
[email protected]

取消立即申請