Job Description

We are currently seeking a detailed-oriented Compliance Manager to enhance and support the Compliance function. This role offers an excellent opportunity to work in a dynamic and fast-paced environment, ensuring the firm's adherence to regulatory requirements and industry best practices. The successful candidate will be responsible for all compliance matters including regulatory compliance matters and part of AML matters.

The ideal candidate will exhibit flexibility and agility while maintaining professionalism, demonstrating a proactive approach to identifying and mitigating potential challenges in alignment with company objectives.

• Handle SFC licensing matters, regulatory inquiries, inspections and investigations
• Keep track of SFC regulatory changes
• Compile, maintain policies and procedures to comply with Companies Ordinance, Securities and Futures Ordinance and relevant subsidiary legislation and codes issued by regulators
• Review policies and procedures developed by the first line of defence to ensure compliance with the regulatory requirements
• Ensure all research and marketing publications are SFC compliant
• Manage customer complaint process and conduct risk of licensed representatives and act as Manager in Charge of Complaint
• Advise all client suitability and products related issues
• Provide compliance review and advisory
• Promote compliance awareness and culture of the Company, including development and delivery of compliance trainings
• Perform ad hoc compliance projects as assigned
• Provide AML advisory and conduct clearance of name screening and AML transaction monitoring as required

• University Graduate in Business Administration, Law, Audit or related disciplines
• Minimum 8 years of experience in banking or SFC licensed corporation with exposure in business compliance, regulatory compliance, product compliance and with knowledge of AML is a plus
• Reasonable knowledge in wealth management products
• Independent, proactive and able to work under pressure with strong ownership, analytical and problem-solving skills
• Excellent stakeholder management skill i.e. solid experience in daily collaboration with various stakeholders
• Exceptional analytical skills with a keen eye for detail, capable of managing multiple tasks and projects effectively and efficiently
• Strong interpersonal and communication skills with language proficiency in both English and Chinese