Reference Number 038372
Position Compliance Manager (or Senior Compliance manager)
Salary 50 - 60K
Job Requirements
At least 5 - 7 years relevant experience in financial institutions (Candidate with more experience will be considered for Compliance Manager)
Prefer familiar with SFC regulation for RA Type 1,4,9
Experience of risk management / controlling / auditing or related discipline
University degree in Law, Finance, Business or related disciplines
Possess relevant experience in legal & compliance, good knowledge of regulatory requirements, procedures and guidelines
Self-motivated, meticulous, analytical and strong organizational skills
Good communication skills, good spoken English and Cantonese, both verbal and written
Good coordination capabilities and project management skills
Positive and supportive working attitude, multiple tasking and good time management ability to adapt to a continuously evolving system and work-flow environment
Job Responsibilities
Ensure compliance with the rules and regulations of stock exchanges and local regulatory requirement, e.g. SFC, HKEX, etc
Handle day to day operation related to regulatory reporting matters
Perform surveillance exercise on internal controls and compliance procedures to ensure full adherence with internal policies and external regulatory requirements
Review contracts and business agreements
Acquire the necessary licence and permission from authorities
Provide legal and compliance support to management and business units for the Group
Review concerns or questions related to compliance issue and provide consultative support
Update compliance policies and procedures and coordinate with business units to ensure due compliance with regulatory requirements
Work closely with Risk Manager to review, identify, recommend and implementation of control measures (compliance, operation risks, etc.) to ensure adequate controls and procedures are in place
Provide project management support or coordination to COO, RO, and Risk Manager for risk, control & compliance matters
Contacts Edmond So - 26275200