Senior Compliance Manager/ Compliance Manager, Business Compliance Senior Compliance Manager/ Compliance Manager,  …

Guotai Junan (Hong Kong) Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 02 Jun 20
Competitive
Guotai Junan (Hong Kong) Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 02 Jun 20
Competitive
Guotai Junan International Holdings, a well established and reputable financial group in Hong Kong, is looking for high caliber professionals to take up the following positions:

Responsibilities

  • Assist Compliance Director to provide daily compliance advice to business;
  • Draft and revise internal policies and procedures;
  • Review agreements, marketing materials, fund prospectus, product documents, etc. from compliance perspective;
  • Identify gaps between internal policies / procedures and new regulatory requirements
  • Handle on-site and off-site inspection;
  • Evaluate existing and new business activities and products to identify compliance risks;
  • Collaborate with business to establish sound internal controls to mitigate compliance risks; and
  • Prepare training materials.

Requirements

  • Bachelor’s degree in law, finance, business management or other related disciplines;
  • 6 years or above of experience in compliance / regulatory areas with at least 3 years in wealth management licensed corporations or private banks;
  • Familiar with the SFC and HKEx rules and regulations and industry practices;
  • Possess knowledge about securities brokerage business and listed structured products such as warrants preferred;
  • Proficiency in both written and spoken English and Chinese, fluency in Putonghua will be an advantage;
  • Good team spirit;
  • Analytical with attention to detail; and
  • Able to work independently.

We offer an attractive remuneration package to the right candidate. Interested parties please forward your full resume with availability, expected salary toi "hr@gtjas.com.hk" or send it to 27/F., Low Block, Grand Millennium Plaza, 181 Queen’s Road, Central, Hong Kong.

(Data collected will be kept strictly confidential and used for recruitment purpose only.)

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