compliance manager - securities firm in Hong Kong

posted
contact
shirley shao, randstad hong kong
job type
permanent
salary
HK$ 50,000 - HK$ 70,000 per month

job details

posted
location
hong kong
specialism
banking & financial services
job type
permanent
working hours
Full-Time
salary
HK$ 50,000 - HK$ 70,000 per month
reference number
91M0149649_1603078273
contact
shirley shao, randstad hong kong
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job description

about the company

Our client is a expanding Securities Financial Services with strong presence in HK. They are now looking for a Compliance Manager talent to support the Compliance team.

about the job

  • Drafting and reviewing all compliance procedures/policies, ensuring that they are properly developed and monitored to align with the relevant rules and regulations.
  • Handling SFC licensing, filing, enquiries and investigations.
  • Responsible to monitor all activities related to type 1 and 2 regulated activities of SFC.
  • Handling KYC, AML, CDD, On boarding related issues and projects
  • Maintenance of surveillance functions, such as, staff dealing monitoring and CPTs registers;
  • Facilitating and coordinating compliance training for staff.
  • Any other duties assigned by Department Head.

skills & experiences required

  • Experienced compliance with minimum 4 years of experience.
  • Practical legal knowledge to support basic legal function for the firm.
  • Knowledge of the all round AML regulatory compliance.
  • Significant involvement in the rollout of banking projects
  • Good communication and collaboration skills as most tasks require work together across various functions.
  • Fluency in both spoken and written English, and good command of Chinese (Mandarin and Cantonese)

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

AML regulatory compliance, securities, SFC, regulatory compliance

qualification

AML regulatory compliance, securities, SFC, regulatory compliance

educational requirements

Associate Degree/Diploma