Compliance Manager/Head of Compliance

Job level Middle
Work exp Minimum 5 Years
Education Bachelor Degree
Language English
Location Hong Kong
Employment type Full Time
Industry Others
Job function Legal / Professional Services > Legal & Compliance
Legal / Professional Services > Others
Published On 05/10/2016
ref. 036104

• University graduate in Law or related disciplines;
• At least 5 years of compliance experience in financial industry;
• Extensive knowledge of financial service regulatory and licensing requirements;
• Experience in dealing with regulators;
• Good Command of Chinese and English (including Putonghua);
• A strong team player with excellent inter-personal and communication skills;
• Less experience will be considered as Assistant Compliance Manager.

• Perform compliance checking and review on investment products;
• Provide advisory services to business units on compliance and legal related matters;
• Liaise with SFC and other regulators;
• Being responsible for company's and representative's license application, maintenance and reporting to SFC, CPT monitoring and the maintenance of proper licensing with all relevant regulators;
• Handle and monitor staff personal investment;
• Handle and monitor trade activities to identify any non-compliance transactions;
• Organize and maintain records for company’s contracts;
• Assist to update procedure manuals and ensure the processes are in compliance with regulatory guidelines and internal policies;
• Drafting and managing the roll out of Compliance policies, procedures and guidelines and any associated training requirements.

Jo Cheung - 2627 5211