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JHP focus on targeted search and selection of financial professionals across the spectrum of primary and secondary markets, ranging from Investment Banking, Capital Markets, Asset Management & Hedge Fund, Private Equity & Venture Capital, Operation, Legal & Compliance, etc.

With experienced consultants from Hong Kong and China, we have teams covering various areas of expertise over Asia especially in Hong Kong, China & Singapore. Our consultants are backed up by a large team of researchers that continuously sifts the markets, following up leads, finding out who is making money and open to their next move. With our experience and network in the market, we are confident that we can provide value adding solution to our clients’ talent acquisition process.

JHP focus on targeted search and selection of financial professionals across the spectrum of primary and secondary markets, ranging from Investment Banking, Capital Markets, Asset Management & Hedge Fund, Private Equity & Venture Capital, Operation, Legal & Compliance, etc. With experienced...

JHP focus on targeted search and selection of financial professionals across the spectrum of primary and secondary markets, ranging from Investment Banking, Capital Markets, Asset Management & Hedge Fund, Private Equity & Venture Capital, Operation, Legal & Compliance, etc.

With experienced consultants from Hong Kong and China, we have teams covering various areas of expertise over Asia especially in Hong Kong, China & Singapore. Our consultants are backed up by a large team of researchers that continuously sifts the markets, following up leads, finding out who is making money and open to their next move. With our experience and network in the market, we are confident that we can provide value adding solution to our clients’ talent acquisition process.

Compliance Manager

Job level Entry
Work exp 1 Year To 3 Years
Education Bachelor Degree
Location
Not Specified Unspecified
Employment type Full Time
Industry Financial Services
Job function Banking / Finance > Corporate Finance
Legal / Professional Services > Legal & Compliance
Published On 17/05/2018 2018-05-17

Our Client is a newly set up financial platform in the market with business in Type 1, 4, 6, 9 related activities. They are now looking for a compliance manager for handle licensing and general compliance stuff for the company.

Responsibilities:

  • Handle the Group’s compliance issues and licensing related matters on Type 1, 4, 6 and 9 regulated activities;
  • Provide advisory to Senior Management and Responsible Officers on all compliance related issues for the group companies;
  • Handle SFC regulated activities licensing matters (for corporations and individuals licenses) e.g. notifications, annual returns, surveys and other ad hoc reports as required by the regulators.
  • Formulate, implement, maintain and review compliance related policies, procedures, system as well as proper control to ensure that Company’s activities are in compliance with all applicable laws, latest statutory and regulatory requirements as well as group policies;
  • Perform regular compliance check and establish suitable internal monitoring and control processes to ensure all business operations are full compliance with external regulatory requirements;
  • Perform CDD, KYC and AML assessments/measures upon new account opening and ongoing transaction monitoring in compliance with regulatory requirements;
  • Direct dealings with regulators, external auditors and internal auditors for all compliance issues;
  • Design, develop and conduct regular compliance and AML trainings in accordance with regulatory requirements;
  • Handle inquiries and investigation from SFC, HKEx and other regulators;
  • Handle other ad-hoc assignments as required.

 

Requirements:

  • University degree in Accounting, Law, Economics, Finance or related areas;
  • Minimum 3 years of relevant regulatory compliance, risk control or internal audit experience in an investment bank or SFC licensed corporations with Type 1, 4, 6, 9 regulated activities;
  • Familiar with Type 1, 4, 6, 9 corporation and individual licenses and related business under SFC regulation;
  • Good understanding of Hong Kong regulation such as SFO, SFC rules, Code of Conduct, Takeover Codes, HKEx Listing Rules and other compliance regulations;
  • Knowledgeable in AML, KYC, CDD and middle/back office operation;
  • Have experience in a start-up environment and mainland Chinese corporation preferable;
  • Ability to maintain good business relationship with the local regulator;
  • High sense of responsibility with excellent communication, interpersonal and presentation skills;
  • Analytical, self-motivated, highly flexible, possessing initiative and ability to work independently;
  • Excellent command of written & spoken Chinese (Mandarin) & English;
  • Good PC knowledge in MS Word, Chinese Word Processing, Excel and Powerpoint