Compliance Manager | 人才服务办公室

职位描述

Responsibilities:

Develop and implement the compliance framework to ensure company policies and regulations are met
Oversee and review all business operations relating to compliance including policies, investments, and procedures
Communicate applicable risks, costs, progress, and results to all relevant partners and regulators
Design and monitor control systems to deal with violations of legal rules and internal policies
Regularly assess the efficiency of control systems and recommend effective improvements
Perform periodic audits on company procedures and processes
Conduct employee training sessions on compliance issues
Provide compliance advisory to the business
Advise on new product launch or revamp, relevant sale and marketing materials, training materials
Handle inquiries from regulatory bodies and compile periodical reports for management, steer for ad hoc compliance project or investigation when required

Requirements:

Degree or above qualification in Business, Finance, Legal or related discipline
Experience dealing with SFC regulated activites type 1, 4 & 9.
At least 5 years of solid relevant experience
Exposure to compliance monitoring and testing work or experience working regulatory bodies, consultancies or advisory firms will be an advantage
Experience in policy and procedures development and implementation is required
Good understanding of Hong Kong AML/ CFT

We offer excellent remuneration package and career development to the right candidate. Fringe benefits include medical insurance, free lunch and 5-days work.

(All personal information received will be kept in strictly confidential and only for recruitment purpose only.)