Assistant Manager

3 days ago

Kowloon, Hong Kong SAR China Fulbright Securities Limited Full time

Assistant Manager / Manager, Compliance Department Reporting to Associate Director of Compliance Department, you are responsible for: Identify and assess compliance risks along with the Group’s development and daily operational activities; Develop and implement internal policies, procedures and control manuals for the Group; Perform regular compliance monitoring tests and/or program on the Company’s various activities and monitor closely with the regulatory requirements and ensure the policies and procedures in the Group adhere to the requirements; Assist in handling compliance-related matters and issues arising from day-to-day business operations, including but not limited to liaising with the SFC or other regulators, handling licensing related matters and developing internal regulatory training; Keep abreast of any new or revised regulatory rules and legal requirements in relation to different business units; Communicate with internal business units, external auditors, legal firms and regulatory institutions in regard to compliance matters. Requirements: Degree holder in Finance/Accounting/Law/Risk Management or other related disciplines; Minimum 5 years of relevant experience in finance and banking industry; Strong knowledge in SFC rules and regulations in respect to Type 1, 2, 4, 5 and 9 regulated activities; Possess solid trade surveillance skills and AML monitoring experiences; Excellent communication and interpersonal skills; Highly independent, self‑motivated and flexible; Experience in Company Secretarial is an advantage; Good command of written and spoken in English and Cantonese, with proficiency in Putonghua is a plus; Candidates with less experience will be considered as Assistant Manager. Salary and fringe benefits for the post will be highly competitive, commensurate with qualifications and experience. Interested candidates please send your resume, last and expected salary to the Human Resources and Administration by clicking Apply Now . Data collected will be used for recruitment purpose only. For more details, please visit us at About Fulbright Financial Group Founded in 1999 by a group of high caliber professionals, Fulbright Financial Group is dedicated to developing financial business in Hong Kong and China. Throughout the decade, we have become a specialist in the trading of securities, futures and precious metal, and we keep on expanding our business to the fields of asset management and wealth management. To cope with our company expansion, an excellent career opportunity is offered to the right candidate to join our dynamic and ever growing environment. #J-18808-Ljbffr

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