Compliance Manager

  • Commensurate with experience
  • Hong Kong
  • Permanent, Full time
  • ZH GlobalExec Resources Ltd
  • 13 Nov 18

Our client is a financial services institutions principally engaged in the business of securities trading (SFC Type 1, Type 4, and Type 9 regulated activities), capital management, wealth management, and corporate finance. The Company will fully broaden its product line and introduce advanced, innovative and diversified products and make a contribution to the healthy development of the financial industry.

Job Details: 

  • Identify and evaluate compliance risks of the operations and business activities of Securities, and or Asset Management, provide day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business unit in compliance with the law, rules and regulations
  • Review business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirements 
  • Partner with other Compliance and Legal teams on assessing and measuring compliance and related risks, and developing common standards and practices. 
  • Conduct monitoring activities including desk reviews and thematic reviews wherever appropriate for compliance with regulatory requirements 
  • Draft, revise, update and maintain Compliance policies and manuals of the business units as necessary on the ongoing basis 
  • Review, enhance and develop the compliance programs, procedures and guidelines for the respective business unit 
  • Manage relationship with the relevant Exchanges and Regulators, handling queries and requests 
  • Deliver in-house compliance training to the business unit and advice to the management

Profile:

  • Degree holder of Laws, Finance or other related disciplines
  • At least 5-7 years’ relevant compliance experience in Asset Management, Securities, or financial services
  • Good command of written and spoken English and Chinese including Putonghua
  • Less experienced candidates can consider Manager/Assistant Manager