Starting from 2009, RecruitPRO Consultancy Hong Kong Limited is a Hong Kong based recruitment consultancy and executive search firm serving clients range from Fortune 500 companies, multinational corporations and listed companies in Hong Kong and mainland China. The key to the success of any business...

Starting from 2009, RecruitPRO Consultancy Hong Kong Limited is a Hong Kong based recruitment consultancy and executive search firm serving clients range from Fortune 500 companies, multinational corporations and listed companies in Hong Kong and mainland China.

 

The key to the success of any business is people. At RecruitPRO, our goal is to provide the right talents to meet for your business growth. Whether you are a candidate looking for a career opportunity or an employer looking to staff an important position, RecruitPRO is the solution for you.

 

website: www.recruitpro662.com

Employer enquiry hotline: 852 2388 7911

For Employer enquiry use only: enquiry@recruitpro662.com

 

*All personal data collected will be kept confidential and be used for recruitment related purpose only.*

(Senior) Compliance Officer / Manager - securities & investment firm or Investment Bank

Job level Middle
Work exp 4 Years To 10 Years
Education Bachelor Degree
Professional Qualification SFC
Language Chinese - Cantonese, Chinese - Mandarin, English
Location Hong Kong
Employment type Permanent
Benefits 5-day week, Competitive pay, MPF, Discretionary bonus, Medical plan
Industry Banking
Job function Banking / Finance > Investment & Securities
Banking / Finance > Legal / Compliance
Banking / Finance > Private Banking / Wealth Management
Published On 18/11/2016

Our clients, one of the leading securities & investment firm or Investment Bank in HK , They are now looking for:

 

(Senior) Compliance Officer / Manager 

(* less experienced candidates will also be considered as Compliance Officer)

 

 

  • Develop, implement and maintain an ongoing basis local policies and procedures in order to ensure compliance with relevant local regulatory. e.g. 1, 2, 4 & 9 requirements
  • Formulate Compliance policies for ensuring the Business operations complied to the legal and regulatory requirements
  • Review the compliance controls and identify areas for improvement in investment products/services
  • Design and implement Compliance Program in order to ensure effective monitoring of compliance with relevant regulatory requirements
  • Keep abreast of the latest regulatory requirements in order to provide suitable and legally viable advice to senior management, general staff and service provider Job Requirements

 

  • Bachelor degree or above in Finance, Accounting, Law or related discipline
  • At least 6 years experiences in the financial services industry handling compliance and/or controls
  • Solid knowledge in application of SFC &local regulatory requirements, Preferably with asset management, corporate finance and brokerage experience
  • Independent and able to work under pressure
  • Good spoken and written skills in both English and Chinese (Mandarin is a must)

To Job Seekers:

 

Please kindly send your CV in WORD format ONLY with CURRENT and EXPECTED salary and AVAILABILITY to smartapply@recruitpro662.com