Tian Yuan Finance Group is a licensed financial corporation which carries on type 1,4,6 and 9 licensing activities. In order to fulfill our expansion in mainland China, to diversify our business via a broader client base and build up a strong sales team in mainland China, we are now offering the opening...

Tian Yuan Finance Group is a licensed financial corporation which carries on type 1,4,6 and 9 licensing activities. In order to fulfill our expansion in mainland China, to diversify our business via a broader client base and build up a strong sales team in mainland China, we are now offering the opening for China business Development Officers.

Senior Compliance Manager

Job level Middle
Work exp Minimum 5 Years
Education Bachelor Degree
Location Wanchai
Employment type Full Time
Industry Financial Services
Job function Legal / Professional Services > Legal & Compliance
Legal / Professional Services > Others
Published On 23/09/2016

The Job :

  • Identify and evaluate compliance risks of the operations and business activities for one of the respective business units namely Asset Management / Securities Brokerage, Leveraged & Acquisition Finance & Private Wealth Management
  • Provide day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business unit in compliance with the law, rules and regulations
  • Review business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirements
  • Partner with other Legal team on assessing and measuring compliance and related risks, and developing common standards and practices.
  • Conduct monitoring activities including desk reviews and thematic reviews wherever appropriate for compliance with regulatory requirements
  • Draft, revise, update and maintain Compliance policies and manuals of the business units as necessary on ongoing basis
  • Review, enhance and develop the compliance programs, procedures and guidelines for the respective business unit
  • Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
  • Deliver in-house compliance training to the business unit and advice to the management

 Requirements: 

  • Degree holder of Laws, Finance or other related disciplines
  • 5 years’ relevant compliance experience covering one of the respective business units namely Asset Management  / Securities Brokerage, Leveraged & Acquisition Finance & Private Wealth Management
  • Candidate with the respective business experience and willing to change the career development focus to compliance / with general compliance experience but interested in broadening the exposure to business compliance will also be considered; regional/global exposure in financial institution is a plus
  • Good command of written and spoken English and Chinese including Putonghua