- Asset Allocation
- Asset Management
- Risk Management
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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Please attach your CV with salary expected to
[email redacted, apply via Jobable]
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JPC Recruiting Services was established in 1990.
|Career Level||Intermediate (3-6 years)|
|Language||English, Mandarin (Putonghua)|