Espace Recruteurs
Morgan McKinley - Hong Kong

Compliance Manager (Immediately available is preferred)

Morgan McKinley Hong Kong
Mise en ligne il y a 20 jours CDI Competitive
Compliance Manager (Immediately available is preferred)
To apply online, please click the "Apply" button below. For a confidential discussion about this role, please contact Winnie Cheung on wcheung@morganmckinley.com

Responsibilities
  • Liaise with key regulators, and manages day to day routine and ad-hoc regulatory engagements, correspondences, surveys and requests for information.
  • Liaise with relevant internal stakeholders to ensure prompt and timely response to the regulators, the dissemination of regulatory circulars, notices, literature to the relevant business or operations units and follow-up with the respective units on the action/implementation plan
  • Assess and escalate any matter or issue that could be of significant regulatory concern, including the assessment of incidents to determine if it constitutes a regulatory breach, and ensure that breaches are notified to the regulators in a timely manner
  • Provide compliance oversight to China and Macau subsidiaries and acts as their contact point on compliance and functional assignments and tasks.
  • Assist in preparing and coordinating responses to regulatory inquiries, assist in reporting any compliance related issues to SG Head Office, Regulators and Management
  • Handle special projects and functional reporting and projects as assigned by supervisor
Requirements
  • Degree holder in Law, Accounting, Finance or related disciplines, preferable with professional qualification in Law/Accountancy/Finance
  • Minimum 3 years of compliance experience in securities/futures brokerage industry
  • Knowledge in formulating compliance checking procedures and conduct compliance checking
  • Knowledge in SFC, HKEx regulations and other regulatory requirements in relation to corporate finance, dealing in securities, dealing in futures contract and internet trading
  • A team player with strong communication and analytical skills as well as high degree of professional maturity
  • Able to work independently
  • Strong command of written and spoken English & Chinese, including Mandarin
  • Immediately available is highly preferred
Référence  BBBH834725
À PROPOS DE CETTE ENTREPRISE
Hong Kong
48 Collaborateurs Ressources humaines
Morgan McKinley has been successfully connecting talented candidates with career opportunities for over 30 years. It’s in our DNA to Go Beyond – above...
Plus d'offres de Morgan McKinley
Morgan McKinley
Manager/ Senior Manager, Financial & Regulatory Reporting
Morgan McKinley
Hong Kong
il y a 14 heures Full time Competitive
Morgan McKinley
Compliance Officer
Morgan McKinley
Shenzhen, China
il y a 27 jours Full time Competitive
Morgan McKinley
Senior Manager / Manager, Financial Reporting
Morgan McKinley
Hong Kong
il y a 20 jours Full time Competitive
Morgan McKinley
Credit Risk Manager (Debt Recovery/Modelling/Analytics)
Morgan McKinley
Hong Kong
il y a 6 jours Full time Competitive
Morgan McKinley
Product Manager - FinTech Products
Morgan McKinley
Hong Kong
il y a 3 jours Full time HKD60000 - HKD80000 per month
Morgan McKinley
Technology risk manager
Morgan McKinley
Hong Kong
il y a 3 jours Full time HKD60000.00 - HKD70000 per month
Morgan McKinley
IT Project Manager/Senior IT Project Manager
Morgan McKinley
Hong Kong
il y a 3 jours Full time discretionary bonus
Morgan McKinley
Foreign Exchange Trader
Morgan McKinley
Hong Kong
il y a 7 jours Full time Competitive
Morgan McKinley
Senior Manager/ Manager, Asset and Liability Management
Morgan McKinley
Hong Kong
il y a 15 jours Full time Competitive
Morgan McKinley
(Banking)CIO & Head of Regulatory Report
Morgan McKinley
Beijing, China
il y a 15 heures Full time ¥1000k - ¥1600k

Donnez un nouvel élan à votre carrière

Trouvez des milliers d'opportunités emploi en vous inscrivant sur eFinancialCareers dès aujourd'hui.
Offres recommandées