(Senior) Compliance Manager - Securities

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • CDI, Plein-temps
  • Gravitas Recruitment Group
  • 14 juin 18 2018-06-14

Our client is a leading financial conglomerate offering a wide range of financial services. They are currently looking for a strong compliance candidate to join their team. This person will be heading up the compliance team focusing on the securities business.

Responsibilities: 

  • Overseeing the group's operations and ensure all processes are complied with internal and external regulatory requirements
  • Identifying risks and implementing controls to cope with ongoing regulatory changes
  • Handling regulators' enquiries for any compliance related issues
  • Draft and review legal contracts 

Requirements:

  • Degree holder
  • Minimum 5 years experience in compliance
  • Sound knowledge of the securities business
  • Sound knowledge of regulatory requirements
  • Company Secretarial experience a definite advantage
  • Good command of Chinese and English