As a member of the Frontier Financial Group (www.ffgwm.com), we are a versatile financial services group specializing in providing private wealth management and investment banking services to high net worth individuals, institutional and corporate clients. Frontier Financial Group (FFG) holds Types 1,...

As a member of the Frontier Financial Group (www.ffgwm.com), we are a versatile financial services group specializing in providing private wealth management and investment banking services to high net worth individuals, institutional and corporate clients. Frontier Financial Group (FFG) holds Types 1, 4, 6 and 9 licenses granted by the Securities and Futures Commission of Hong Kong. To cope with its rapid expansion in business in recent years, FFG has expanded substantially in size and has been recruiting experienced professionals from the industry to fill its key functional and management positions. The growth momentum is ever going and FFG is inviting high caliber individuals with dedication and commitment to succeed to join the already dynamic team.

Compliance Manager / Assistant Compliance Manager

Job level Middle
Work exp 3 Years To 5 Years
Education Bachelor Degree
Location
Central
Employment type Full Time
Benefits 13-month pay, 5-day week, Dental plan, Medical plan
Industry Financial Services
Job function Banking / Finance > Private Banking / Wealth Management
Banking / Finance > Others
Legal / Professional Services > Legal & Compliance
Published On 21/12/2018

 

 

Responsibilities:

  • Handle licensing matters including SFC;
  • Review client account opening forms;
  • Conduct trade surveillance, AML and other compliance checks;
  • Draft and maintain compliance policies and procedures;
  • Perform monthly personal account dealing reviews;
  • Conduct continuous professional training including preparation of training materials;
  • Update CPT/CPD records;
  • Assist to review and monitor the group ongoing and new business expansion in compliance with requirements of relevant regulatory bodies;
  • Work closely with the team to provide daily legal & compliance support for the ongoing business requirements
  • Assist in maintaining Chinese Wall and in monitoring information flows;

Requirements:

  • University graduate in Law or equivalent;
  • 3-5years working experiences in investment bank or asset management company;
  • Fluent in written and spoken English and Chinese, including Mandarin;
  • Well-organized;
  • Good analytical and communication skills;
  • Flexible and willing to learn;
  • Able to work independently and under pressure;
  • Proficient in MS Word, Excel and Power-point;
  • Experience in insurance or property industry is a plus.
  • Candidate with less exp. will be considered as Assistant Manager

 

We offer excellent remuneration package and career development to the right candidate. Fringe benefits include medical insurance, free lunch and 5-days work.

 

(All personal information received will be kept in strictly confidential and only for recruitment purpose only.)