Compliance Manager

Responsibilities:

• Act as a key point of contact between the fund(s)’ management team and relevant regulators for ongoing compliance matters, regulatory inquiries, and submission coordination
• Ensure the funds and related operations continuously comply with applicable Hong Kong regulatory requirements, including relevant codes, SFC requirements, and statutory obligations under the Securities and Futures Ordinance (SFO)
• Ensure compliance with the regulatory requirements for distribution of investment products issued by SFC including but not limited to suitability assessments, electronic dissemination and marketing guidelines and circulars
• To draft, update and maintain the firm's policies and manuals of the regulated activities
• To manage the investigation and resolution of any client complaints in accordance with regulatory timelines, and liaise with the regulatory bodies
• To organize and deliver training to all licensed staff
• To monitor changes in the regulatory landscape and provide impact assessments to senior management

Requirement & Qualifications:

• Bachelor degree in Law, Finance, Business or a related field
• At least 6 years of compliance experience in the financial industry, including substantial experience with Hong Kong SFC-regulated funds / authorization and ongoing compliance.
• In-depth understanding of the Securities and Futures Ordinance (SFO) and the SFC Code of conduct and fund compliance
• Strong regulatory knowledge of the Hong Kong fund regulatory framework and related compliance obligations
• Fluent in Cantonese, Mandarin and English, with strong bilingual drafting and documentation skills
• Strong communication skills, detail-oriented, and able to work independently

We Offer:

• Competitive remuneration package
• 5 Days Work & Bank Holidays
• Attendance Bonus
• Meal Allowance
• Discretionary Bonus
• Medical Insurance

We provide attractive remuneration package and fringe benefits for the right candidate.

Interested parties please send detailed resume with current and expected salaries to Human Resources Department by clicking "Quick Apply" or email to: [email protected]

All information collected will be used for recruitment purpose only, only shortlisted candidates will be notified. Welcome to visit our website: http://www.bsgroup.com.hk/ for more information.

公司簡介

耀才證券金融集團有限公司 (上市編號 : 01428) 於2010年在港交所主板上市，主要從事證券、期貨及期權經紀業務。