Assistant Compliance Manager / Compliance Manager (General Compliance)

Responsibilities :

Assist to supervise licensing related works and offer advice on licensing issues
Provide compliance advice to the different business units in relation to securities brokerage and wealth management business
Review and advise on legal and compliance contracts and documentation
Handle and implement compliance requests with internal stakeholders to enhance the internal controls and procedures as well as the system of the Company
Manage internal and external audit, enquiries, regulatory filings, inspections and investigations from the auditors, Exchanges and Regulators
Conduct compliance training
Perform ad hoc compliance projects as assigned

Requirements :

Degree holder in Law, Business, Finance or related disciplines
Minimum 5 years of compliance experience in financial institutions, and fintech company experience is an advantage
Professional qualification on AML or compliance is an advantage
Sound knowledge in rules and regulations of Securities and Futures Commission and relevant regulatory requirements
Self-motivated, able to work independently, detailed oriented with good inter-personal skill and strong problem solving skills
Proficiency in written and spoken English and Chinese (including Putonghua)

To apply:

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