Global Executive Consultants Ltd. | Compliance Manager

22 hours ago


hong kong, Hong Kong SAR China Global Executive Consultants Ltd. Full time
Compliance Manager (Financial Institution) (HK$45K - $60K) (Ref. No.: 25869)

Our client, a Financial Institution, is looking for a high-caliber person to fill the position.

Job Duties

  • Oversee general compliance for Type 1, 4, 9 licenses
  • Ensure daily operations comply with Hong Kong SFC and/or other regulatory requirements
  • Handle regulatory requests, inquiries and examinations in a proper and timely manner
  • Review, revise and draft internal manuals, policies and procedures to ensure compliance with rules and regulations of the SFC
  • Conduct AML/KYC checking and other necessary investigations
  • Prepare compliance training for staff
  • Perform ad-hoc assignments as assigned

Job Requirements

  • Bachelor’s Degree or above
  • At least 4 years of General Compliance experience in SFC licensed corporations
  • Sound knowledge of rules and regulations administered by the SFC, market practices, financial products as well as securities business
  • Able to work independently, self-motivated with a strong sense of responsibility
  • Excellent command of spoken and written English and Chinese (including Putonghua)
  • Candidates with more experience will be considered for Senior Manager
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