Job ref no.: CT3119652-01#4374

Compliance Manager (LC 149)

Mario Recruitment Limited

Job Duties

  • Establish, implement and monitor compliance policies, procedures and standards of Hong Kong operations
  • Provide consultation to local and any overseas offices on SFO regulatory and compliance issues
  • Monitor day-to-day compliance responsibilities including SFC reporting, licensing, AML, KYC and general compliance duties
  • Formulate, review and update the operational procedures to ensure full regulatory compliance for internal & external audits and regulatory inspections
  • Keep abreast of the latest regulatory requirements for provision of advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management
  • Supervise fulfilment of SFC license holders’ requirements of CPT training
  • Handle compliance cases and complaints; to make necessary disclosures such as
  • Lead regulatory projects and supervise team members to work with related departments

Job Requirements

  • Having 4-5 years of solid experience in sell-side securities firm or in buy-side asset managers in capacity of compliance manager roles
  • Having sound knowledge of international regulatory compliance rules
  • A holder of bachelor degree or above in Law, Finance, Accounting, Business or related discipline(s)
  • Possessing strong leadership, analytical, communication and presentation skills
  • Fluent Mandarin is a must
  • Good work life balance

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More job information
Job ref no. CT3119652-01#4374
  • N/A
Job Function
Employment Term
  • Full-time
  • 4 years - 5 years
Career Level
  • Non-management level
  • Degree
  • Master's degree