Compliance Manager (securities firm) Compliance Manager (securities firm) …

Non-disclosed
à Hong Kong, Hong Kong, Hong Kong
CDI, Plein-temps
Dernière candidature, 08 sept. 19
Competitive
Non-disclosed
à Hong Kong, Hong Kong, Hong Kong
CDI, Plein-temps
Dernière candidature, 08 sept. 19
Competitive
Compliance Manager / Legal and Compliance Manager Listed company

Responsibilities

  • Report to CEO, provide all-rounded compliance support to our SFC type 1, 2, 4, 9 regulatory activities to ensure full compliance with regulatory and internal control requirements;
  • Handle statutory reporting, licensing applications and inquiries from regulatory bodies and conducts related investigations;
  • Providing regulatory updates to licensed staff and/or arranging training to fulfill their CPT/CPD requirements;
  • Coordinate with professional parties e.g. fund investors, administrator, custodian and lawyer and communicate with relevant authorities, such as SFC and Hong Kong Stock Exchange when necessary;
  • other ad-hoic projects as assigned


Requirements

  • Degree holder in law, business or related disciplines;
  • At least 3 years hands-on compliance experience in financial institution or securities firm, experience in legal aspects a plus
  • Strong interpersonal skills with a good command in Chinese and English, sound knowledge in PRC and HK business environment and SFC regulatory activities is highly preferred
  • Immediate available is highly preferable;


We offer a competitive remuneration package to the right candidate.  

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