Job Description

Our client, an established financial group with SFC Type 1 4 9, is currently looking for a Compliance Manager to monitor their daily operation.

Responsibilities:

• Monitor all compliance issues of the company, including Asset Management, Brokerage, and Direct Investment
• Conduct investigation on suspicious transaction cases
• Build and strengthen the in-house compliance & risk management framework
• Provide AML/KYC advisory and operational support
• Roll out compliance policies & operating guidelines
• Perform periodic review on staff’s personal dealing pre-clearance requests and reconciliation
• Ensure all business units are in full compliance with the relevant laws, rules and regulations
• Develop and provide compliance training
• File and monitor Disclosure of Interest notification in compliance with HKEx rules

Requirements

• University degree in Banking/Finance or any related disciplines
• Minimum of 3 years relevant experience in financial industry or SFC type 149 companies in compliance/legal
• Sound knowledge of listing rules, takeover code
• Ability to work under pressure, with strong communication and analytical skills
• Fluency in English and Mandarin is essential
• Strong report writing skills in both Chinese and English

All information collected will be kept in strict confidence and will only be used for recruitment purpose. Only shortlisted candidates will be notified.