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Job ref no.: CT3115413-01#2735

Manager/ Senior Consultant, Regulatory Compliance

Compliance Consulting Limited

Benefits
  • 5-day week
  • 13-month pay
  • Discretionary bonus
  • Education subsidies
  • Flexible working hours
  • Housing allowance
  • Medical plan
  • K + 1 more

Compliance Consulting Limited has been established since 2003 in Hong Kong as a pioneer in the industry with strong reputation and successful track records. Our team of compliance specialists provides clients with consultation advice and cost-effective business solutions including SFC licensing, compliance outsourcing, facilitating and guiding the registration of companies and their representatives in compliance with the current regulatory regime.  

Job Responsibilities:

  • Conduct annual compliance reviews on existing client portfolio
  • Manage and ensure policies and procedures are in compliance with Securities and Futures Ordinance and Codes and Guidelines;
  • Assist in all SFC regulated activities to ensure full regulatory compliance and good market practice;
  • Establish, enhance, monitor and perform compliance controls over operations and business activities
  • Develop and implement risk management, internal control and Compliance assurance program within the organization

Job Requirements:

  • University graduate (preferably in Law or Accountancy), professional qualification in CPA/CFA would be an advantage;
  • At least 5-6 years' solid compliance experience in sizeable financial intermediaries, professional firms or regulator;
  • Understanding of FRR would be an advantage
  • Familiar with the Securities and Futures Ordinance and Codes and Guidelines issued by the Securities and Futures Commission;
  • Well organized, self-motivated and good interpersonal skill; and
  • Good command of spoken and written English, Cantonese and Mandarin

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More job information
Job ref no. CT3115413-01#2735
Salary
  • N/A
Job Function
Industry
Location
  • Central
Employment Term
  • Permanent
  • Full-time
Experience
  • 5 years - 11 years
Career Level
  • Middle management level
Education
  • Degree