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Compliance Manager

Posting Date:  Mar 29, 2021

Hong Kong, HK

Employment Status:  Permanent
Department:  Securities Business Department
Job Description: 
Job Responsibilities
  • Evaluate securities business activities and products to identify any potential compliance risk and operational risk
  • Identify any gap between internal policies and procedures and new regulatory requirements 
  • Collaborate with business/ operations teams to establish sound internal controls to mitigate the associated risks 
  • Review and maintain Policies and Procedures to ensure adhere to applicable regulations
  • Work with internal parties to facilitate regulatory examinations, questionnaires, surveys, investigations and other regulatory requirements
  • Review all policies and procedures to ensure complying with the regulatory requirements and maintain the consolidated list regularly
  • Provide advise on products, sale and marketing materials, training materials from compliance perspective
  • Prepare training materials to promote compliance awareness among the colleagues
  • Bachelor or above with major in Economics, Risk Management, Accounting, Finance, or related subject 
  • 3-5 years experience in compliance, internal control, risk management or internal audit in financial industry 
  • Well-verse in regulatory requirements, such as the HKMA and SFC 
  • Experience in writing internal policies and procedures, management reporting
  • Analytical with attention to details 
  • A team player, able to work independently and self-motivated
  • Good command of both written and spoken English and Chinese