For secure and confidential job application, please click the below link to get our email address. http://jpc.hk/confidential_apply.htm
For secure and confidential job application, please click the below link to get our email address.
 
http://jpc.hk/confidential_apply.htm

SENIOR COMPLIANCE MANAGER - SFC 1 & 9 / securities brokerage / asset management (Central)

Job level Middle
Work exp Minimum 4 Years
Location
Within Hong Kong
Employment type Full Time
Industry Financial Services / Investment / Securities
Job function Banking / Finance > Legal / Compliance
Legal / Professional Services > Business Consultancy
Legal / Professional Services > Legal & Compliance
Published On 25/04/2021
 
THE COMPANY :

  • Headquarters : Beijing
  • International financial services corporation with SFC Type 1, 2, 4, 5 & 9 licenses
  • Our mother company is a financial technology company focus in AI and big data analysis for the financial sector
  • We are looking for SENIOR COMPLIANCE MANAGER - with details as follows :


THE JOB :

  • Manage the group's business risk and compliance
  • Be responsible for all regulatory filings and reporting in relation to the company's regulated activities;
  • Act as the Compliance and AML Manager-in-charge for the company;
  • Monitor suitability assessment for all regulated activities to meet regulator's expectation;
  • Provide recommendation and research on all legal and regulatory developments and update management the periodically;
  • Enforce compliance controls and reviews to ensure licensed individuals and/or the company are complying with the licensing requirements;
  • Deliver compliance training to employees and licensed individuals and monitor their CPT requirements; and
  • Hold periodic training to business
  • Work independently with no direct subordinates
  • Report to the RO
  • Bachelor degree in finance, economics, accounting, law, business administration or any related disciplines;
  • Minimum 4 years compliance experience under SFC Type 1 & 9 licenses;
  • Sound knowledge in various financial products;
  • Experience in dealing with the SFC for license application;
  • Excellent interpersonal and communication skills; and
  • Excellent command of spoken and written English, Cantonese and Putonghua.
  • Annual leave : 18 days
  • Office location : Sheung Wan


TO APPLY for this job or similar jobs :


For secure and confidential job application, please click the below link to get our email address.
 
http://jpc.hk/confidential_apply.htm


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Dear Applicant,

Kindly please forward your resume to resume@jpc.hk again for quick process.

 

Regards,

JPC Texson Ltd