COMPLIANCE MANAGER – securities brokerage/bank/finance field

Job level Senior
Work exp 3 Years To 15 Years or above
Education Bachelor Degree
Location Hong Kong
Employment type Full Time
Benefits 5-day week, General holidays, Competitive pay, MPF, 13-month pay, Year-end bonus, Discretionary bonus, Guaranteed bonus, Medical plan, Performance bonus
Industry Financial Services
Job function Banking / Finance > Investment Banking / M & A
Banking / Finance > Legal / Compliance
Banking / Finance > Risk Management
Published On 01/10/2016
China background securities brokerage company with SFC Licence Type 1 - is looking for a  COMPLIANCE MANAGER   - with details as follows :  
  • Tertiary education
  • Studies in Finance/Economics/Law/Banking/Investment or other related disciplines will be a plus
  • 5 to 8 years of relevant hands-on compliance experience preferably in brokerage business
  • Business level of English and Chinese; Mandarin a plus
  • Report to the Managing Director
  • Fully responsible for all compliance duties of this securities brokerage business
  • Identify and evaluate compliance risk of the operations and business activities for brokerage business; and provide appropriate solutions
  • Provide regulatory advice and guidance on rules and internal policies
  • Review business processes and new initiatives to ensure compliance with regulatory requirements
  • Assessing and measuring compliance and related risk, and developing Corporate standards and practices when needed
  • Conduct monitoring activities and various compliance reviews for compliance with regulatory requirements
  • Draft, review and maintain compliance policies and manuals when appropriate
  • Review and enhance the compliance programs, procedures and guidelines
  • Handle queries and requests from the relevant Exchanges and Regulators
  • Provide advice to the senior management related to compliance issues
  • Work independently with no direct subordinates
  • 5 days work 
  • Annual leave : 15 days 
  • Medical benefits 
Please attach your  CV with salary expected to :
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