Job ref no.: CT3113955-01#0023
TC Concord Securities Limited

Compliance Manager

TC Concord Securities Limited

  • 5-day week
  • Compassionate leave
  • Dental plan
  • Discretionary bonus
  • Marriage leave
  • Meal allowance
  • Medical plan
  • Paid overtime
  • K + 2 more

Principal Duties and Responsibilities

The successful applicant will be responsible to assist management in carrying out the compliance functions of the Company for the provision of equities, futures and options, fixed income, asset management, including establishing, implementing, and enforcing relevant internal policies and procedures by the respective officers and employees in accordance with applicable external legal, regulatory, codes, policy and procedural requirements.

Job Responsibilities

  • To report to the Head of the Legal and Compliance Department
  • To assist management in the internal compliance control and supervision, and business practices of, the regulated activities conducted by the Company, its subsidiaries, and their respective officers and employees
  • To provide advice to members of management, officers and employees on compliance issues
  • To develop and establish appropriate and effective policies and procedures on any new regulatory requirements and business products or activities
  • To manage and conduct the daily review and monitoring of the regulated business activities of the Company and its subsidiaries, and any proprietary and staff dealing, and to report occurrences of non-compliance or irregularities
  • To develop and conduct continuing professional training programs; and
  • To manage and supervise the client account opening documentation and requirements

Job Requirements

  • Degree holder in the areas of business, accounting, law or related disciplines
  • Minimum of 5 years’ experience in performing internal auditing or compliance functions in the Financial Service, or Asset Management Industry
  • Sound knowledge of the Financial Service, or Asset Management Industry, including a thorough understanding of equities, futures, asset managment and options and fixed income products, business operations and practices
  • Good knowledge and understanding of the securities laws, rules and regulations, codes and practices of Hong Kong, including those of the local regulators and exchanges
  • Excellent analytical skills
  • Able to work efficiently and under minimal supervision
  • Strong communication and interpersonal relationship skills
  • Excellent written and spoken English. Fluent Mandarin is a plus.  

We offer attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present & expected salaries and date of availability to Human Resources Department by email. 

More job information
Job ref no. CT3113955-01#0023
  • N/A
Job Function
  • Central
  • Western District
Employment Term
  • Permanent
  • Full-time
  • 5 years - 7 years
Career Level
  • Non-management level
  • Degree
Require to Travel
  • No travel