Compliance Manager

by Varsha Mankani in Banking & Financial Services    17th Jan, 2020       Central

Compliance Manager

Introduction:

Our client is a well established financial services firm. We are now seeking a Compliance Manager who will maintain various compliance policies and procedures.

Responsibilities:

  • Responsible for the regulatory compliance of the Investment and Securities businesses in Hong Kong & China.
  • Developing and monitoring effectiveness of the existing compliance function
  • Provide professional advice on regulatory aspects of transactions and services.
  • Mainly be responsible for Type 1 regulated activities
  • Provide advice to senior management regarding financing, compliance, regulatory matters.
  • Review policies, guidelines, procedures and practices on an ongoing basis.
  • Participate in ad hoc tasks as assigned.

Requirements:

  • Degree holder in Finance/ Corporate Governance/ Law/ Business
  • Strong understanding in SFC rules and regulations, esp Type 1
  • Relevant experience in regulatory compliance preferably gained from a listed securities firm/ financial institutions
  • Legal background preferred such as LLB, LLM
  • Excellent interpersonal, presentation and communication skills.
  • Strong language skills in English and Chinese (Mandarin)
  • Candidates with more experience will be considered as Senior Compliance Manager

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