Compliance and Audit Manager

1 week ago

Hong Kong Island, Hong Kong SAR China Classy Wheeler Limited Full time

Compliance and Audit Manager (Equities, Funds, SFC 1/4/5/9) (Securities) Company Description: A leading financial institution in the securities industry, this firm is committed to providing comprehensive and professional financial services, including brokerage and FinTech solutions. Location: Hong Kong Nature: Permanent Job Title: Compliance and Audit Manager (Equities, Funds, SFC 1/4/5/9) (Securities) Responsibilities Develop, implement, and review comprehensive compliance policies and internal control procedures to ensure full adherence to all relevant regulatory requirements. Execute internal audits and conduct thorough risk assessments across all business activities, with a primary focus on equities and fund-related services. Provide expert advice and professional guidance on regulatory and compliance matters to various departments, specifically regarding SFC license types 1, 4, 5, and 9. Coordinate closely with external auditors and regulatory bodies throughout formal examinations and inquiries. Prepare detailed reports on all compliance findings, risk assessments, and internal audit results, presenting clear recommendations directly to the Chief Executive Officer (CEO). Monitor the progress of the company's application for a Virtual Assets uplift to ensure all regulatory requirements are met. Requirements Proven experience in a compliance or internal audit function within the financial or securities industry, demonstrating exposure to equities and funds. Possess a strong and up-to-date understanding of local regulatory frameworks and industry best practices, particularly concerning SFC license types 1, 4, 5, and 9. Excellent analytical and problem‑solving skills, with the ability to accurately interpret complex financial regulations and effectively assess potential risks. Proficient communication skills, both written and verbal, in English and Chinese (Cantonese and/or Mandarin). Hold a relevant bachelor's degree in Finance, Accounting, Law, or a closely related discipline. Demonstrate the ability to work independently and effectively manage the entire compliance function as a single contributor. Seniority level Mid‑Senior level Employment type Full‑time Job function Information Technology, Finance, and Accounting / Auditing Industries Technology, Information and Media, Securities and Commodity Exchanges, and Insurance Agencies and Brokerages #J-18808-Ljbffr

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