Compliance Manager
4 weeks ago
Responsibilities:
- Provide prompt, sound and consistent compliance advice, especially can handle statutory enquiries from regulators (e.g. SFC / HKEX) independently;
- Co-ordinate and handle enquires from business departments regarding to regulatory compliance requirements and provide advice and recommendations;
- Influences and negotiates with seniors across functions and management; may communicate with external consultants and lawyers;
- Establish proper controls, policies and business operation procedures to ensure compliance with legal and regulatory requirements;
- Develop an ethical and efficient business reporting frameworks;
- Handle other compliance matters or assist projects as assigned by management from time to time.
Job Requirements:
- Bachelor's Degree in Law, Accountancy, Business or equivalent;
- At least 4-6 years of relevant experience in Compliance function of Financial Institution;
- Strong understanding of financial market knowledge on products, rules and regulations of capital markets for HK and US markets;
- Well-versed in relevant compliance rules and regulations issued by the SFC / HKMA;
- Analytical, self-motivated, ability to work under pressure;
- Good Team Player and problem-solving skills;
- Good command of written and spoken English and Chinese (Cantonese & Mandarin);
- Less experience will be considered as Assistant Manager.
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