Job ref no.: CT3128109-01#0035
The Core Securities Company Limited

Compliance Manager

The Core Securities Company Limited

This position functions as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. The position ensures the management and employees are: (i) in compliance with the rules and regulations of regulatory agencies, (ii) that Company policies and procedures are being followed, and (iii) that behavior in the organization meets the Company’s standards of conduct. This position will include the development, supervision and monitoring of compliance programs, compliance testing audit, customer complaints and resolution programs.

PRIMARY RESPONSIBILITIES (include, but are not limited to)

  • The Compliance Manager acts as staff to the Chief Executive Officer and Legal & Compliance Team by monitoring and reporting results of the compliance/ethics issues and in providing guidance for the senior management team on matters relating to compliance.
  • The Compliance Manager, together with the Executive Management Team, is authorized to implement all necessary actions to ensure achievement of the objectives of an effective compliance program.
  • Develops, initiates, maintains, and revises policies and procedures for the general operation of the Company and its business activities to prevent illegal, unethical, or improper conduct.
  • Providing guidance and advice to management and employees of the Company from compliance perspective.
  • Collaborating with other departments of the Company to direct compliance issues to appropriate existing channels for investigation and resolution. Consulting with legal counsels as needed to resolve difficult legal compliance issues.
  • Responding to alleged breach or violation of rules, regulations, policies, procedures, and standards of conduct by recommending effective investigative procedures and sensible solutions.
  • Acting as an independent review and evaluation body to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
  • Being familiar with status of all compliance activities and able to identify trends.
  • Managing customer complaint process and conducting analysis on trends regarding compliance and regulatory activities.
  • Identifying potential areas of compliance vulnerability and risk; developing and implementing corrective action plans to tackle problematic issues, and providing guidance and advice on how to avoid or deal with similar situations in the future.
  • Providing work reports on a regular basis, and as directed or requested, to keep the senior management informed of the operation and progress of compliance matters.
  • Ensuring proper and timely reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
  • Establishing and managing a compliance “hotline" within the Company.
  • Raising awareness of compliance throughout the Company, and being familiar with all relevant laws, rules, regulations, guidelines, and requirements of regulators to ensure compliance.
  • Working with the Human Resources Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees.
  • Monitoring and improving effectiveness of the compliance program.
  • Maintaining professional and technical knowledge by attending educational workshops, and reviewing professional publications.
  • Any other responsibilities as directed by management.

KNOWLEDGE AND SKILL REQUIREMENTS

  • University degree in law, accounting, finance or related disciplines.
  • A minimum of 5 years’ experience of compliance in Fintech company, securities brokerage firm or financial institution.
  • Must have good understanding of securities brokers’ operations and familiarity with investment products such as equities, collective investment scheme, derivatives, structured products, etc.
  • Must be familiar with local laws and SFC rules for regulated activities.
  • Familiar with operational, financial, quality assurance, internal controls, and human resource procedures and regulations.
  • Must have the ability to use discretion in the controlling of confidential information.
  • Must possess excellent time management skills, organizational and communication skills, both oral and written and present professional image and be strongly customer-oriented.
  • Must be able to plan, prioritize, delegate, and follow through to successful completion, all assignments and ability to work effectively with minimum direction and supervision.
  • Must be able to train and teach employees.
  • Must ensure compliance with policies and procedures, and maintain adherence to security rules/regulations.
  • Must have a strong command of written and spoken English and Chinese. Fluency in spoken Putonghua is required.
  • Ideal candidate has CPA and/or legal background.
  • Due to the nature of our business a successful pre-employment background check is required. 

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More job information
Job ref no. CT3128109-01#0035
Salary
Job Function
Industry
Location
  • Central
Employment Term
  • Full-time
Experience
  • 5 years - 10 years
Career Level
  • Middle management level
Education
  • Degree
Benefits
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Medical plan