Compliance Manager (SFC Licensed Corp)

Job Responsibilities:

• Conduct risk-based compliance reviews to ensure adherence to regulatory / internal requirements
• Identify and evaluate regulatory compliance risk and control issues and prepare compliance review reports to highlight exceptions and provide recommendations for improvement
• Follow up on remediation work
• Assist Department Head to formulate and update policies, programs and control procedures
• Handle ad-hoc tasks as assigned by the head of compliance

Job Requirements:

• Degree holder in Law, Finance, Accounting, Business or related disciplines;
• Minimum 5 years solid working experience in compliance or audit, with at least 3 years in relation to type 1, 4, 6 & 9 regulated activities.
• Sound working knowledge of equities, futures, options and good knowledge of SFO, SFC codes and Guidelines, Listing Rules, Takeover Codes and the HKFE Rules and Regulations
• Knowledge of QI, CRS and FATCA will be preferred.
• Good command of written and spoken English and Chinese (Cantonese and Putonghua)

We offer attractive remuneration package to the right candidates. Interested parties please send your current and expected salary by email.

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