compliance manager - chinese securities in Hong Kong

posted
contact
shirley shao, randstad hong kong
job type
permanent
salary
HK$ 50,000 - HK$ 60,000 per month

job details

posted
location
hong kong
specialism
banking & financial services
job type
permanent
working hours
Full-Time
salary
HK$ 50,000 - HK$ 60,000 per month
reference number
91M0149908_1603770980
contact
shirley shao, randstad hong kong
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job description

about the company

Our client is a leading Chinese Securities with strong presence in HK. They are now looking for a Compliance talent to lead the Compliance team.

about the job

  • Act as the key person for compliance function, perform day-to-day compliance advisory duties and provide general Compliance advice and guidance across all business in HK
  • Maintain relationships with regulatory authorities and dealing with investigations, audits and inquiries from regulators.
  • Carry out investigation for alleged violations of rules, regulations, policies, procedures, and standards of conduct.
  • Identify potential areas of compliance vulnerability and develop corrective action; gives advise on prevention for similar situations in the future.
  • In-charge of the company’s and representative’s license application, maintenance and reporting with SFC, CPT monitoring, ensure proper licensing with local regulators.
  • Provides training to front office personnel on general regulatory matters such as the code of market conduct, sales practices and other related regulatory matters.
  • Develop proper controls, policies and procedures to ensure the Company complies with internal and external legal and regulatory requirements.

skills & experiences required

  • University degree/qualifications or above.
  • Minimum 8 years solid compliance experience in related business.
  • Thorough knowledge of rules and regulations relating to securities and futures brokerage, corporate finance and asset management business.
  • A problem solver with constructive solution.
  • Strong interpersonal skills in handling relationships with the different parties of the company and regulator.
  • Fluent in English and Mandarin is must.

To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Shirley Shao on + 852 2232 3414 or email: shirley.shao@randstad.com.hk

skills

compliance, regulatory, securities, financial services, licensing

qualification

compliance, regulatory, securities, financial services, licensing

educational requirements

Associate Degree/Diploma