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Job ref no.: CT3114630-01#8634

Compliance Manager

Regal Executives Limited

Benefits
  • 5-day week
  • Discretionary bonus

Our clients, a Top-tier PRC firm with full license (SFC type 1,2,4,5,6,9), is currently looking for a Compliance Manager to join their expanding team.

Responsibilities:

  • Cover Asset Management, Brokerage and Corporate Finance business;
  • Responsible for compliance reviewing on investment products;
  • Provide advisory services to business units on compliance and legal related matters;
  • Liaise with SFC and other regulators;
  • Responsible for all license application;
  • Update operating manuals and ensure the processes are in compliance with regulatory guidelines and internal policies;
  • Drafting and managing the roll out of compliance policies, procedures, guidelines and any associated training requirements.

Requirements:

  • University graduate in Law or related disciplines preferred;
  • At least 4 years of compliance experience in Banking & Finance Industry, candidates with less experience will be considered as Manager;
  • Extensive knowledge of financial service regulatory and licensing requirements;
  • Good Command of Chinese and English (including Putonghua);
  • A strong team player with excellent inter-personal and communication skills.

Interest parties please submit your CV by clicking Apply Now

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More job information
Job ref no. CT3114630-01#8634
Salary
  • N/A
Job Function
Industry
Employment Term
  • Permanent
  • Full-time
Experience
  • 4 years - 9 years
Career Level
  • Middle management level
Education
  • Degree