South China Financial Holdings Limited, a company listed on the main board of the Stock Exchange of Hong Kong, whose main business is to provide extensive range of financial services including brokerage, on-line trading of securities, foreign exchange, global commodities, asset management, wealth management, investment banking and money lending. To cope with the rapid expansion of our business, we are looking for a candidate having strong caliber for the position of Compliance Manager.
- Handle enquiries and investigations by the regulators (including Securities and Futures Commission and the Stock Exchange of Hong Kong) .
- Conduct compliance monitoring, trade surveillance, reviews and ad-hoc investigations (including investigations of suspicious activities/ transactions) and report non-compliance issues with suggestions on remedy/ resolution and/or related compliance improvement plan to the management on a timely basis.
- Liaise with business, operations and legal departments, and auditors and regulatory authorities on compliance related matters when necessary.
- Review and update compliance policies and procedures and related guidelines, and review marketing materials, advertisements and etc. before its use or publication for ensuring compliance with all applicable internal and regulatory requirements.
- Assist Department Head to supervise team members and handle ad-hoc issues.
- University degree in Accounting, Law, Corporate Governance or related discipline
- Minimum 10 years’ experience in compliance, in which at least 5 years in a senior position in financial services industry
- Well versed in all relevant laws, rules, codes, guidelines and requirements in relation to the compliance, anti-money laundering, counter-financing of terrorism and licensing in financial service industry in Hong Kong
- Able to handle multi-tasks independently and work under strictly tight deadlines and pressure
- Strong analytical skills in problem solving
- Strong ethics, integrity and enthusiasm
- A good team player, self-motivated, strong sense of responsibility and discipline with good communication skills
- Good command of both written and spoken English and Chinese (including Mandarin)
We offer an attractive remuneration package and excellent career development to the right individual. Interested parties please send your full resume with present and expected salary to Human Resources Department by clicking "APPLY NOW".
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