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about the company.
Our client is a full licensed financial institution with strong presence in the region.
about the job.
- Identify and evaluate compliance risks of the operations and business activities
- Provide day to day regulatory advice and guidance on rules and internal policies and ensure the business unit in compliance with the law, rules and regulations
- Review business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirements
- Partner with other Compliance and Legal teams on assessing and measuring compliance and related risks
- Draft, revise, update and maintain Compliance policies and manuals of the business units
- Review, enhance and develop the compliance programs, procedures and guidelines
- Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
- Deliver in-house compliance training to the business unit and advice to the management
skills & experiences required.
- Degree holder of Laws, Finance or other related disciplines
- 5 years' relevant compliance experience in securities brokerage or asset management field
- Candidates with compliance exposure in SFC full licensed corp is an advantage
- Good command of written and spoken English and Chinese including Putonghua
To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Nicole Hui on + 852 2232 3421 or email: [email redacted, apply via Jobable]
|Language||English, Cantonese, Mandarin (Putonghua)|