Job ref no.: CT3114387-01#6369

Senior Manager - Compliance

AMAC Human Resources Consultants

AMAC Human Resources Consultants -Hong Kong

  • Minimum of 5 years of solid Capital Markets & Investment Banking compliance experience. Other relevant experiences may be considered
  • Understand investment services & regulated activities regulations & requirements including industry practices and products in HK
  • Other jurisdictions e.g. other Asian countries are preferable
  • Strong knowledge and experience in analyzing & implementing the Hong Kong Monetary Authority & Securities & Futures Commission regulatory requirements & the Securities & Futures Ordinance requirements
  • Excellent verbal & written communication skills in Chinese & English

Job Duties:

  • Identify & evaluate on an on-going basis the impact of investment banking /capital markets regulated activities requirements
  • Analyze & review the existing policies & procedures when there is any change in both external regulations & Parent Company rules
  • Proactively inform business desks on the requirements of law & regulation they must comply with
  • Evaluate business initiatives & processes from a compliance perspective. Verify the qualification of Professional Investors
  • Support business desks on the application of Compliance requirements

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More job information
Job ref no. CT3114387-01#6369
  • N/A
Job Function
  • 5 years - 10 years
Career Level
  • Non-management level
  • N/A