Welcome to the Convoy family! Having a sizable IFA team in Hong Kong with business expansion in Asia Pacific Region, we are committed to becoming one of Asia’s leading financial services providers over the long-term. To achieve this goal, we take pride in having you as part of our family. At Convoy,...

Welcome to the Convoy family! Having a sizable IFA team in Hong Kong with business expansion in Asia Pacific Region, we are committed to becoming one of Asia’s leading financial services providers over the long-term.

To achieve this goal, we take pride in having you as part of our family. At Convoy, we nurture your strengths and value your unique perspectives, and in return we expect you to share our passion.

Join us! We believe you’ll find working at Convoy a valuable experience in your career.

Company Website:  www.convoyfinancial.com

Compliance Manager

Job level Middle
Work exp Minimum 4 Years
Education Bachelor Degree
Location North Point
Employment type Permanent
Benefits 5-day week, Competitive pay, Dental plan, Discretionary bonus, Insurance plan
Industry Financial Services
Job function Banking / Finance > Capital Markets
Legal / Professional Services > Legal & Compliance
Published On 25/11/2016

As a rapidly growing financial institution and the leading Independent Financial Advisory conglomerate in Hong Kong, Convoy Group strives to provide the best in class, multifaceted financial services for our customers.

We are looking for high caliber candidates to share our vision and venture our success.

 

Responsibilities:

  • Assist to review all policies and procedures to ensure compliance with regulatory and company policies
  • Handle statutory reporting, licensing applications and inquiries from regulatory bodies and handle ad hoc compliance project or investigation when required
  • Keep abreast of the latest developments and regulatory requirements (e.g. SFC & HKMA)
  • Advise business and operation units on internal control requirements
  • Perform regular compliance assessment and conduct incidents investigations

Requirements:

  • University degree in law or accounting and have a minimum 4 years of relevantexperience working with regulator, financial institutions or professional services firm in Hong Kong
  • Good knowledge of securities products, private placement bonds/funds, unit trust, mutual funds and AML due diligence
  • Well versed in SFC, HKMA and other related legislations and guidelines
  • Hands on experience of working and liaison with regulatory bodies
  • Excellent communication, listening, interpersonal and influencing skills
  • Self-motivated and pro-active team player with strong problem solving skills
  • Excellent command of written and spoken English and Chinese

 

We offer competitive remuneration including career prospects to the right candidate. Interested parties please send detailed resume with availability, current and expected salaries to Human Resources Department, Convoy Global Holdings Limited, 39/F @CONVOY, 169 Electric Road, North Point, Hong Kong or by clicking the Apply Now button and upload your CV and cover letter.

 

(All applications will be treated in strict confidence and used for recruitment purpose within Convoy Global Holdings Limited only)