GlobalExec, a member of the Hong Kong Institute of Human Resources Management, is one of the most successful and fast growing total human resources solution providers in Asia. We specialize in industries including Banking & Finance, Information Technology, Commerce, FMCG, Retails and Manufacturing...

GlobalExec, a member of the Hong Kong Institute of Human Resources Management, is one of the most successful and fast growing total human resources solution providers in Asia. We specialize in industries including Banking & Finance, Information Technology, Commerce, FMCG, Retails and Manufacturing sectors. Clienteles include major Banks, IT Vendors and Global 1,000 Companies. Our Consultants are all experienced professionals in specialized industries who possess strong business acumen and commercial awareness hence able to deliver our best practice at all time.

Suite 1710-12, Wing On Centre, 111 Connaught Road Central, Hong Kong
Tel :
(852) 3551 9300 Fax : (852) 3551 9400
E-mail : (preferable)
Website : www.globexec.com

Compliance Manager (Asset Management) (HK$35K - $55K) (Ref. No.: 23545)

Job level Middle
Education Bachelor Degree
Location
Not Specified
Employment type Full Time
Industry HR / Recruitment Services / Personnel Agency
Job function Banking / Finance > Capital Markets
Banking / Finance > Fund Management / Hedge Fund
Legal / Professional Services > Legal & Compliance
Published On 20/09/2019
Salary (HKD) $35 - $54 / month
ref. 23545

Our client, a Financial Institution, is looking for high-caliber person to fill the position. 

Responsibilities:-

  • Attend to ongoing compliance requirements under the Companies Ordinance, Securities and Futures Ordinance and relevant subsidiary legislation and codes issued by the regulators for licensed persons;
  • Assist in handling licence applications and providing advice on licensing issues;
  • Assist in reviewing and revising business plan for approval by regulators;
  • Assist in reviewing and revising compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes;
  • Keep abreast of, monitoring, and analyzing developing trends and changes in regulatory compliance laws, rules and regulations, and advising clients of the operational impact of such trends and changes;
  • Handling FATCA related matters;
  • Ad hoc projects assigned by superiors.

Requirements:-

  • Degree in Law, Finance, Accountancy or related professional qualifications;
  • Relevant experience in handling SFC licence applications and compliance issues is essential;
  • At least 5 years of relevant experience gained from sizable financial institution;
  • Experience in conducing on-site inspections will be an advantage;
  • Self-motivated, well-organized and detail-minded;
  • Good command of spoken and written English and fluent spoken Mandarin;
  • PC knowledge, familiar with secondary market trading systems.