Compliance Manager Compliance Manager …

Shandong Gold Financial Holdings Group (HK) Co., Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 12 Aug 20
with Discretionary bonus
Shandong Gold Financial Holdings Group (HK) Co., Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 12 Aug 20
with Discretionary bonus
Compliance Manager

Job Responsibilities:

  • Develop a robust framework and manage the investment compliance processes of the company and/or other entities under the Group full license business, with a focus on Hong Kong securities and futures market dealing.
  • Draft, revise, update and maintain Compliance policies and manuals of the Business Units as necessary on ongoing basis, including Chinese Wall Policy, KYC, AML, Personal Dealing Policy, CRS and FATCA.
  • Accountable for managing Compliance Risks relevant to the activities of the Business Units. Able to provide effective compliance support to the on-going business and new projects.
  • Handle regulators enquiries, client complaints and matters in relation to license/ registration with SFC/HKEX and other regulators. Keep abreast of new regulatory requirements published by SFC, HKEX etc.
  • Promote a culture of compliance and compliance awareness to Business Unit employees to reduce Compliance Risk.
  • Provide a compliance service that effectively support various business areas and work with various department i.e. front office, Finance and Risk.
  • Able to provide internal trainings to the staff.

 

Job Requirements:

  • Bachelor or above degree in Risk Management, Compliance, Audit, Finance, Accountancy, Business Administration or related disciplines.
  • Minimum 6-7 years working experience in in compliance related areas, with minimum 3 years specialized in SFC Type 1&2 licenses activities, experience in Type 4&9 is a plus.
  • Good knowledge and working experience with SFC and related regulatory requirements.
  • Good knowledge on financial products and commercial practices related to SFC regulated activities.
  • Self-starter, know-how mentality. Able to work independently as well as in a team with coordination and leadership ability.
  • Good command of both written and spoken English and Chinese. Proficient in Mandarin is highly preferred.
  • Proficient in MS office tools (Word, PowerPoint, Excel).
  • Candidates with less experience will be considered as Compliance Manager.
  • Professional qualification in CPA, CFA or equivalent will be an advantage.

 

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