Job ref no.: CT3130532-01#0881

Compliance Manager - Licensing, renewable contract (up to 55K)

Oliver James Associates


Job Description:

1. Advising on Hong Kong SFC and HKMA licensing queries (e.g. application form/application process/competence requirement)
2. Arranging the SFC and HKMA license applications according to the new licensing matrix for Global Markets staff
3. Collecting and ensuring the application documentation are in place according to the competence requirements
4. Submitting the information to GBM License Administration team to proceed HKMA registration and/or SFC license application
5. Providing additional information to the SFC upon request
6. Notifying individuals of the conditions imposed on the license, if applicable, following up the fulfillment and notifying the related parties once completed
7. Notifying the relevant parties once the license is granted
8. Escalating cases to business and Compliance as appropriate
9. Produce management information/updates regarding licensing applications/status

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More job information
Job ref no. CT3130532-01#0881
  • 45,000 - 55,000 / month
Job Function
Employment Term
  • Contract
  • Full-time
Career Level
  • Middle management level
  • N/A