Job ref no.: CT3118200-01#0838

Compliance Manager

Super Search International Limited

Benefits
  • 5-day week
  • Discretionary bonus
  • Medical plan

Responsibilities

  • Handle all Group’s compliance related matters and provide advisory support to senior management
  • Handle regulatory licensing matters on Type 1, 2, 4,  6 regulated activities (e.g. notifications, and annual returns etc); and Money Lenders (e.g. notification, and annual licence renewal)
  • Responsible for the Group’s AML/CTF function
  • Handle inquiries and investigation from the SFC, HKEx, and other regulators
  • Liaise with other departments to comply with the due diligence requirements relating to FATCA and CRS etc. and perform the reporting obligation
  • Maintain and review compliance related policies, procedures, control system and so as to ensure the licensed activities are in compliance with all applicable laws and regulatory requirements
  • Monitor the findings of the regular compliance tests and take related action if necessary
  • Co-ordinate with external parties for compliance and AML/CFT training annually

 

Requirements

  • Degree in Law, Economic, Finance, Accounting or related disciplines
  • Minimum 3 years’ compliance related experience
  • Direct exposure to securities dealing / brokerage business is highly desirable
  • Good knowledge of Listing Rules, SFO requirements and other compliance regulations
  • Good command of written and spoken English and Chinese (including Mandarin)
  • Proficiency in MS office
  • Good analytical, interpersonal and presentation skills
  • Self-initiative, independent and willing to work under pressure
  • Immediate available is highly preferred

 

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More job information
Job ref no. CT3118200-01#0838
Salary
  • N/A
Job Function
Industry
Location
  • Central
Employment Term
  • Permanent
  • Full-time
Experience
  • 3 years - 8 years
Career Level
  • Middle management level
Education
  • Degree