Compliance Manager | 人才服務辦公室

職位描述

Responsibilities:

• Provide prompt, sound and consistent compliance advice, especially can handle statutory enquiries from regulators (e.g. SFC / HKEX) independently;
• Co-ordinate and handle enquires from business departments regarding to regulatory compliance requirements and provide advice and recommendations;
• Influences and negotiates with seniors across functions and management; may communicate with external consultants and lawyers;
• Establish proper controls, policies and business operation procedures to ensure compliance with legal and regulatory requirements;
• Develop an ethical and efficient business reporting frameworks;
• Handle other compliance matters or assist projects as assigned by management from time to time.

Job Requirements:

• Bachelor's Degree in Law, Accountancy, Business or equivalent;
• At least 4-6 years of relevant experience in Compliance function of Financial Institution;
• Strong understanding of financial market knowledge on products, rules and regulations of capital markets for HK and US markets;
• Well-versed in relevant compliance rules and regulations issued by the SFC / HKMA;
• Analytical, self-motivated, ability to work under pressure;
• Good Team Player and problem-solving skills;
• Good command of written and spoken English and Chinese (Cantonese & Mandarin);
• Less experience will be considered as Assistant Manager.