For Recruiters

Compliance Manager - Type 9 (SA-VP)

CNCB Investment (Hong Kong) Limited Hong Kong
Posted 3 days ago Permanent Attractive Remuneration Package
R
Posted by
Rikki Zheng
Human Resources

Responsibilities:

  • Provide compliance consultation and advice on Type 9 license business;
  • Draft, review and comment internal policies related to mutual fund set up, private fund management and Separate Account management;
  • Perform and review the compliance monitoring program regularly;
  • Prepare internal compliance reports required by the Head Office;
  • Handle SFC license applications and notifications;
  • Handle internal monitoring for preventing conflicts of interest;
  • Liaise with regulators on any business-related compliance matters
  • Perform ad hoc projects and other tasks as assigned

Requirements:

  • Minimum 7 years related compliance work experience with Bachelor’s degree or above;
  • With experience in Chinese financial institutions, handling Type 9 license experience is a must;
  • Excellent regulatory knowledge of the financial industry, especially on Securities and Futures Ordinance;
  • Strong communication skills with a good sense of teamwork;
  • Strong written and spoken Chinese/ Mandarin and English.
More Jobs From CNCB Investment (Hong Kong) Limited
CNCB Investment (Hong Kong) Limited
Fixed Income Sales
CNCB Investment (Hong Kong) Limited
Hong Kong
1 day ago Full time Attractive Remuneration Package
CNCB Investment (Hong Kong) Limited
ECM Execution (A-SA)
CNCB Investment (Hong Kong) Limited
Hong Kong
3 days ago Full time Attractive Remuneration Package
CNCB Investment (Hong Kong) Limited
Market Risk/Credit Risk (SA-VP level)
CNCB Investment (Hong Kong) Limited
Hong Kong
2 days ago Full time Attractive Remuneration Package
CNCB Investment (Hong Kong) Limited
Research Analyst - Research Department
CNCB Investment (Hong Kong) Limited
Hong Kong
3 days ago Full time Attractive Remuneration Package

Boost your career

Find thousands of job opportunities by signing up to eFinancialCareers today.
More Jobs Like This