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Regal Executives, a market leader in Executive Search and Recruit Solutions industry, providing best-in-class talent acquisition and human resources management services focusing on the Banking and Finance sector.

Regal is currently the search arm of Multi-National Banks and Financial Institutes, covering Asset Management, Brokerage, Corporate Finance, Corporate Banking, Wealth Management, Private Banking, Insurance and Financing.

Regal Executives, a market leader in Executive Search and Recruit Solutions industry, providing best-in-class talent acquisition and human resources management services focusing on the Banking and Finance sector. Regal is currently the search arm of Multi-National Banks and Financial Institutes, covering...

Regal Executives, a market leader in Executive Search and Recruit Solutions industry, providing best-in-class talent acquisition and human resources management services focusing on the Banking and Finance sector.

Regal is currently the search arm of Multi-National Banks and Financial Institutes, covering Asset Management, Brokerage, Corporate Finance, Corporate Banking, Wealth Management, Private Banking, Insurance and Financing.

Compliance Manager

Job level Entry
Education Not applicable
Location
Hong Kong Island Hong Kong
Employment type Full Time
Benefits 5-day week, Performance bonus
Industry Financial Services
Job function Banking / Finance > Others
Legal / Professional Services > Company Secretary
Legal / Professional Services > Legal & Compliance
Published On 20/02/2018 2018-02-20

Our clients, a Top-tier PRC firm with full license (SFC type 1,2,4,5,6,9), is currently looking for a Compliance Manager to join their expanding team.

Responsibilities:

  • Cover Asset Management, Brokerage and Corporate Finance business;
  • Responsible for compliance reviewing on investment products;
  • Provide advisory services to business units on compliance and legal related matters;
  • Liaise with SFC and other regulators;
  • Responsible for all license application;
  • Update operating manuals and ensure the processes are in compliance with regulatory guidelines and internal policies;
  • Drafting and managing the roll out of compliance policies, procedures, guidelines and any associated training requirements.

Requirements:

  • University graduate in Law or related disciplines preferred;
  • At least 4 years of compliance experience in Banking & Finance Industry, candidates with less experience will be considered as Manager;
  • Extensive knowledge of financial service regulatory and licensing requirements;
  • Good Command of Chinese and English (including Putonghua);
  • A strong team player with excellent inter-personal and communication skills.

All personal data collected will be kept in strict confidence and would only be used for recruitment purpose.