Manager, Compliance

Job Responsibilities

• Manage & oversee departmental operations running
• Ensure group & business activities fully compliant with license authorities’ rules & regulations
• Advise and handle application & operational issues of own public fund
• Review business initiatives, contracts & letters and advise best practices for groups’ interest
• Respond & coordinate relevant parties to resolve inquiries from license authorities
• Ensure group members aware of latest market updates & practices by providing regular trainings and seminars
• Review & update internal policies, manuals & procedures to match with latest regulators’ guidelines
• Conduct regular checking on frontend sales activities & investigate non-compliant issues
• Handle license applications and maintain group’s & individual’s license records & renewal
• Handle ad hoc projects assigned by management

Job Requirements

• Degree holder in Finance or related discipline
• 5 years relevant experience in which 2 years at managerial level in finance industry
• Solid experience of market best practices to deal with license authorities’ inquiries e.g. SFC, Insurance Authority, MPFA etc
• Familiar with license authorities’ practices, rules & regulations and license application details
• Willing to take initiative to advise business owners to take balance between regulations & group’s interest
• Good command of English & Chinese

Please apply in confidence with full resume, current and expected salary in the subject line to the Human Resources Department, CASH Financial Services Group Limited, 22/F, Manhattan Place, 23 Wang Tai Road, Kowloon Bay, Hong Kong.