Job ref no.: A-50612

Compliance Mgr

AMAC Human Resources Consultants

Compliance Mgr
  • Degree holder in Law, Finance or other related disciplines
  • Minimum 5 years of relevant hands-on compliance experience in Securities, Asset Management and Finance industry
  • Good understanding of HK AML rules and SFO
  • Strong interpersonal and negotiating skills and an ability to work under pressure
  • Strong sense of responsibility, self-disciplined, initiative and work independently
  • Proficient in written and spoken English and Chinese (including Putonghua)
Job Duties:
  • Identify and evaluate compliance risks of the operations and business activities for Brokerage and Asset Management business and provide alternative and compliance solutions
  • Provide day to day regulatory advice and guidance on rules and internal policies including AML and its latest updates; review business processes and new initiatives to ensure compliance with regulatory requirements
  • Partner with other Legal team on assessing and measuring compliance and related risks, and developing common standards and practices
  • Conduct monitoring activities including desk reviews, thematic reviews and AML compliance review wherever appropriate for compliance with regulatory requirements
  • Draft, revise, update and maintain compliance policies and manuals of the business units as necessary on ongoing basis
  • Review, enhance and develop the compliance programs, procedures and guidelines for the business unit
  • Deliver in-house compliance training to the business unit and provide advice to the management
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More job information
Job ref no. A-50612 (CT3116513-01#1474)
Salary
  • N/A
Job Function
Industry
Employment Term
  • Full-time
Experience
  • 5 years - 10 years
Career Level
  • Middle management level
Education
  • Degree