Job ref no.: CT3118201-01#2349

Compliance Manager

Regal Executives Limited

Benefits
  • 5-day week
  • Discretionary bonus

Our clients, a Top-tier PRC Financial Institute with SFC licenses is currently looking for a Compliance Manager to join their expanding team.

Responsibilities:

  • Cover Asset Management, Brokerage and/or 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 licenses 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:

  • At least 3-5 years of compliance experience in Banking & Finance Industry, 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.
  • Candidates with less experience will be considered as Officer;

All personal data collected will be kept in strict confidence and would only be used for recruitment purpose only. 

 

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More job information
Job ref no. CT3118201-01#2349
Salary
  • N/A
Job Function
Industry
Location
  • Central
Employment Term
  • Permanent
  • Full-time
Experience
  • 3 years - 5 years
Career Level
  • Middle management level
Education
  • N/A