Compliance Supervisor

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Non-disclosed
  • 27 Mar 17

Highly reputable China based large financial institution's Hong Kong based core assets management subsidiary is now in search of candidates as posted

Job Summary

Maintain an effective compliance and control system, administrate all functional documentation and crucial/statutory records to meet the business objectives and legal compliance 

Responsibilities

  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies.
  • Jointly conduct AML / KYC assessments and transaction monitoring on AML as well as perform an internal control function to ensure the business and operations are in compliance with regulatory requirements.
  • Develop training materials and coordinate compliance / AML training.
  • Carry out compliance work on the company's operations & systems and prepare reports for management decisions.
  • Respond to enquiries from regulatory bodies such as SFC.
  • Maintain proper filing of updated company policies and procedures.
  • Keep abreast with related legislations and regulations, assist to identify any compliance risks and measures.

Requirements

  • Minimum 3 years compliance experience in a Securities firm.  Applicants previously employed in the professional firms (accounting firms, solicitors or regulators) on the audit, compliance or investigation of Securities companies or Banks will be considered.
  • Good knowledge of the Stock exchange, SFO and SFC codes and Guidelines.
  • Self-motivated, possessing initiative and ability to work independently.
  • High proficiency in written and spoken English, Chinese and Putonghua.