Compliance Manager

Posting Date: Mar 29, 2021

Location:

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

Requirements

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