COMPLIANCE MANAGER – securities brokerage/bank/finance field
Location: Hong Kong
China background securities brokerage company with SFC Licence Type 1 - is looking for a COMPLIANCE MANAGER - with details as follows :
- Tertiary education
- Studies in Finance/Economics/Law/Banking/Investment or other related disciplines will be a plus
- 5 to 8 years of relevant hands-on compliance experience preferably in brokerage business
- Business level of English and Chinese; Mandarin a plus
- Report to the Managing Director
- Fully responsible for all compliance duties of this securities brokerage business
- Identify and evaluate compliance risk of the operations and business activities for brokerage business; and provide appropriate solutions
- Provide regulatory advice and guidance on rules and internal policies
- Review business processes and new initiatives to ensure compliance with regulatory requirements
- Assessing and measuring compliance and related risk, and developing Corporate standards and practices when needed
- Conduct monitoring activities and various compliance reviews for compliance with regulatory requirements
- Draft, review and maintain compliance policies and manuals when appropriate
- Review and enhance the compliance programs, procedures and guidelines
- Handle queries and requests from the relevant Exchanges and Regulators
- Provide advice to the senior management related to compliance issues
- Work independently with no direct subordinates
- 5 days work
- Annual leave : 15 days
- Medical benefits
Please attach your CV with salary expected to :
[email redacted, apply via Jobable]
To speed up our process, please do NOT send us download links.
Personal data provided by job applicants will be used for recruitment purpose only.
Your privacy is guaranteed. We will never give out, lease, or sell your personal information.
JPC Recruiting Services was established in 1990.
|Career Level||Intermediate (3-6 years)|
|Language||English, Cantonese, Mandarin (Putonghua)|