COMPLIANCE MANAGER – HK listed/securities brokerage/asset management/finance & banking

Full-time
Intermediate (3-6 years)

Posted 

Technical Skills

  • Asset Allocation
  • Asset Management
  • Compliance
  • Economics
  • Futures
  • Risk Management
  • Training

Job Description

COMPLIANCE MANAGER – HK listed/securities brokerage/asset management/finance & banking

Location: Within Hong Kong

Member of HK listed company - holding SFC Type 1 (Dealing in Securities) and Type 9 (Asset Management) regulated activities - we are currently focus in providing brokerage services and margin financings to clients for trading in securities listed in Hong Kong - we are now looking for a  COMPLIANCE MANAGER  - with details as follows :
  • University degree/qualifications 
  • Studies in Economics/Finance/Business/Risk Management related is a plus
  • Minimum 5 years compliance experience 
  • Excellent knowledge of rules and regulations relating to securities and futures brokerage, corporate finance and asset management business 
  • Able to identify problems and seek practical solutions 
  • Solid awareness of controls and governance 
  • Self-motivated, a team player and results orientated 
  • Business level in English and Mandarin
  • Report to the CEO
  • In-charge of the company's and representative's license application, maintenance and reporting with SFC, CPT monitoring, ensure proper licensing with local regulators 
  • Promote compliance awareness across the businesses and design training on regulatory, compliance policies and procedures to company staffs 
  • Participate in the development & implementation of compliance controls included compliance checking, clearance of staff dealing, suspicious transaction reporting, maintenance of watch list/restricted list etc. 
  • Handling SFC and external enquiries
  • Other ad hoc projects related to compliance
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Employment TypeFull-time
Career LevelIntermediate (3-6 years)
Education LevelBachelor
LanguageEnglish, Mandarin (Putonghua)
JPC TexsonHuman Resources and Recruitment

Java Road 108 Commercial Centre 108 Java Rd North Point

directions_walk4 mins walk from North Point Station