Compliance Manager (Ref: DB/CD-CM/2016-13)
jobsDB Ref. JHK100003004829977
Employer Ref. DB/CD-CM/2016-13
We are a reputable fast growing financial service group, providing a wide range of securities and futures dealing services to our clients. We are inviting the high-caliber candidate to join us:
- Keeping up-to-date with policies, procedures, laws, regulations and guidelines changes.
To provide compliance advice on new products and business initiatives.
Managing all monitoring activities and conducting ad hoc investigation.
Liaising and handling enquiries from HKEx, SFC and other regulators.
To provide in-house compliance training to all staff.
Bachelor degree in business, finance, law or related field.
At least 5 years relevant experience in sizable investment houses with brokerage.
Good understanding of SFO and other relevant rules and regulations.
Familiar with securities operation and associated compliance risk.
Good command of both written and spoken English and Chinese
Excellent communication and negotiation skills.
Candidates with less experience will be considered as Assistant Compliance Manager.
We provide very attractive remuneration package and career advancement opportunities for the right candidate. Interested parties please send a covering letter and detailed resume with current and expected salary to HR Department by email C admin @ep-sec.com
(All information provided by applicants will be treated in strict confidentiality and used for recruitment purpose only. We will retain your application for a maximum period of 6 months.)