Senior Regulatory Compliance Manager - VP

Full-time

Posted 

Job Description

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]



Employment TypeFull-time
Education LevelNone
LanguageEnglish, Cantonese, Mandarin (Putonghua)
RandstadHuman Resources and Recruitment

50 Connaught Road Central, 5th Floor, Agricultural Bank of China Tower

directions_walk8 mins walk from Central Station