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]
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