Compliance Manager (MIC) - Multi-Strategy Financial Group

by Chloe Lo in Financial Services
Hong Kong
Negotiable

Introduction:

One of my multi-strategy financial group clients in Hong Kong is looking for a high caliber to join their legal & compliance team.

Responsibilities:

  • Monitoring business operation of SFC licensed corporates of the Group and conducting AML / KYC / Compliance checking to ensure compliance with internal policies and external regulations
  • Providing compliance and regulatory advice and ensuring that all compliance and regulatory requirements with SFC type 4, type 6 and type 9 license

Requirements:

  • Bachelor\\\'s Degree holder in finance, risk management, law or other related disciplines is preferable
  • 6 years or above experience of compliance experience in licensed corporations with exposure to dealing with the regulator
  • Experience in securities or brokerage firm is an advantage 
  • Familiar with Securities & Futures Ordinance, related codes and guidelines issued by SFC, AML/ KYC, and other relevant laws and regulations

Chloe Lo

Chloe Lo

For more information about this job opportunity please contact our consultant.

Sign up now for Gemini’s new Job Search platform!

Find the latest job opportunities in Hong Kong, China, Singapore and Thailand! Search and apply for jobs across locations, industries, levels and functions.

Sign up to upload your CV and receive notifications via email or phone when new opportunities are being posted.

Job suggestion for you

Gemini Personnel

Gemini Personnel

Social Links