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.