Senior Manager/ Manager, Compliance Department
6 days ago
Senior Manager/ Manager, Compliance Department Add expected salary to your profile for insights Advise department heads and relevant business units on compliance-related matters Stay abreast of the latest legal and regulatory requirements, and develop company-wide compliance monitoring mechanisms Assist the team in handling product advisory for relevant departments, including wealth management, asset management, over-the-counter trading, and corporate insurance; as well as daily routine advisory such as product reviews, media reviews, marketing materials reviews, cross-border business, etc Review new product/service initiatives covering local and global markets from a regulatory perspective, such as Singapore, Saudi Arabia, etc Formulate and establish compliance policies and procedures (“P&P”) along with related guidelines, and review and comment on P&P, marketing materials, advertisements, etc., prepared by other departments/business units to ensure compliance with applicable internal, legal, and regulatory requirements Managing regulatory audit reviews, including developing and implementing remedial action plans to address findings Liaise with business, operations, IT, and risk management units, auditors, and regulatory authorities on compliance-related matters/issues Requirements Bachelor's degree or above, with preference given to majors in economics, law, finance, accounting, or related fields Over 5-8 years of solid working experience in traditional financial institutions, securities firms, or related fields Experience in conducting compliance or similar training, developing policies and procedures (and related guidelines), and performing compliance reviews and investigations Sound working knowledge of structured products, such as equities, bonds, structured products, virtual asset-related product rules, and good knowledge of the regulations, codes, and guidelines issued by the SFC, HKIA, and other regulatory authorities Good command of written and spoken English and Chinese (Cantonese and Putonghua) Candidates with less experience may be considered for the position of Senior Executive. Unlock job insights Salary match Number of applicants Skills match Your application will include the following questions: Which of the following statements best describes your right to work in Hong Kong? What's your expected monthly basic salary? Which of the following languages are you fluent in? Senior Compliance Manager, Legal and Compliance Department Bank of Dongguan Co., Ltd. – Hong Kong Branch Central, Central and Western District, HK #J-18808-Ljbffr
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Hong Kong Island, Hong Kong SAR China Chief Group Full timeResponsibilities Advise department heads and relevant business units on compliance‑related matters Stay abreast of the latest legal and regulatory requirements, and develop company‑wide compliance monitoring mechanisms Assist the team in handling product advisory for relevant departments, including wealth management, asset management,...
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hong kong, Hong Kong SAR China Bank of Dongguan Co., Ltd. – Hong Kong Branch Full timeSenior Compliance Manager, Legal and Compliance Department Add expected salary to your profile for insights Senior Compliance Manager, Legal and Compliance Department Responsibilities Liaise with local regulators such as the HKMA, SFC and relevant regulators to assist in the implementation of the policy requirements of local regulators in Hong Kong;...
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Hong Kong Island, Hong Kong SAR China Bank of Dongguan Co., Ltd. – Hong Kong Branch Full timeSenior Compliance Manager, Legal and Compliance Department Responsibilities • Liaise with local regulators such as the HKMA, SFC and relevant regulators to assist in the implementation of the policy requirements of local regulators in Hong Kong; • Formulate, update and review compliance policies and guidelines according to the requirements of the Head...
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Hong Kong Island, Hong Kong SAR China Leadingnation Full timeSenior Manager/ Manager, Compliance Department Posting Date: Responsibilities Advise department heads and relevant business units on compliance-related matters Stay abreast of the latest legal and regulatory requirements, and develop company-wide compliance monitoring mechanisms Assist the team in handling product advisory for relevant departments, including...
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Hong Kong Island, Hong Kong SAR China Manager, Operational and Technology Risk Full timeA leading digital bank in Hong Kong is on the lookout for a Manager of Operational and Technology Risk. This role demands expertise in risk management, particularly operational and technology risks. The candidate will develop frameworks and collaborate with various stakeholders to ensure compliance with regulatory standards, oversee the risk-taking...
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Hong Kong Island, Hong Kong SAR China JAST Compliance Limited Full timeOverview Senior Analyst - Compliance and Corporate Services. JAST Compliance is a leading compliance consulting firm in the financial industry in Hong Kong. We are expanding our client servicing team by opening this junior level role. Responsibilities Assist senior managers and partners on daily client servicing work for licensed financial institutions....
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Hong Kong Island, Hong Kong SAR China Compliance Consulting Limited Full timeComplianceConsulting Limited was established in 2003, and is the first financial services consulting company in Hong Kong, offering regulatory and compliance advisory services to financial intermediaries. Our clients include brokerage houses, futures trading companies, corporate finance advisors, funds trading platforms, independent financial advisors, asset...
