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.
Job Duties
- 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
Job Requirements
- 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
- Job No.:
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27143
- Date:
-
27/12/2024
- Job Category:
-
Banking
- Salary:
-
HK$55K - $75K
- Qualification:
-
Degree
- Apply Email:
-
[email protected]
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