Haitong International Securities Group Limited (“Haitong International”:Stock Code: 665.HK) is a subsidiary of Haitong Securities Co., Ltd. (“Haitong Securities” Stock Code: 600837.SH; 6837.HK), one of the leading securities companies in China.
Haitong International is well-established to provide comprehensive and quality corporate finance, brokerage and margin financing, investment management, fixed income, currency and commodities as well as leveraged and acquisition financing and equity derivative products and services to institutional clients and individual investors domestically and around the globe. As one of the most important overseas business platform of Haitong Securities, the Group strives to be a modern and comprehensive financial institution with leading position in the Greater China Region.
The Company is led by a team of passionate and energetic professionals, we regard our staff the most treasurable asset and have been providing the best nurture and career prospect to any talents. We now invite high calibre candidates to join us.
Compliance Manager - Asset Management
jobsDB Ref. JHK100003004920026
Employer Ref. JDB/ASM/COMPLIANCE
The Job :
Identify and evaluate compliance risks of the operations and business activities of Asset Management Department, provide day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business unit in compliance with the law, rules and regulations
- Review business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirements
- Partner with other Compliance and Legal teams on assessing and measuring compliance and related risks, and developing common standards and practices.
- Conduct monitoring activities including desk reviews and thematic reviews wherever appropriate for compliance with regulatory requirements
- Draft, revise, update and maintain Compliance policies and manuals of the business units as necessary on ongoing basis
- Review, enhance and develop the compliance programs, procedures and guidelines for the respective business unit
- Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
- Deliver in-house compliance training to the business unit and advice to the management
Degree holder of Laws, Finance or other related disciplines
- At least 3-5 years’ relevant compliance experience in Asset Management
- With exposure in any of the following investment products: Exchange Traded Funds, Fixed Income Investment products, Securities Market Maker and MPF Schemes is critical
- Good command of written and spoken English and Chinese including Putonghua
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 i) by mail: 22/F, Li Po Chun Chambers, 189 Des Voeux Road Central, HK; ii) by fax: 2537 5431; or iii) by e-mail using "Apply Now".
Please quote the reference in the application. If application is submitted in hard copy format, it should be placed in a sealed envelope marked “Confidential”. All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only. A copy of our Personal Information Collection Statement will be available upon request.