Regal Executives Limited
Regal Executives, a market leader in Executive Search and Recruit Solutions industry, providing best-in-class talent acquisition and human resources management services focusing on the Banking and Finance sector.
Regal is currently the search arm of Multi-National Banks and Financial Institutes, covering Asset Management, Brokerage, Corporate Finance, Corporate Banking, Wealth Management, Private Banking, Insurance and Financing.
Compliance - Senior Manager / Manager / Officer
jobsDB Ref. JHK100003004918463
Our clients, compose of Top Tier Banks and Financial Institutes, are currently looking for different levels of high caliber candidates to join their L&C team.
- To cover Asset Management, Brokerage and/or Corporate Finance business;
- Responsible for general compliance procedure including KYC, AML, Licencing, Compliance Review,etc.
- Provide advisory services to business units on compliance and legal related matters;
- Liaise with SFC and other regulators;
- Update operating manuals and ensure the processes are in compliance with regulatory guidelines and internal policies;
- To assist in drafting and managing the roll out of compliance policies, procedures, CPT, guidelines and any associated training requirements.
- University graduate in Law/Accounting or related disciplines;
- At least 4 years of compliance experience in Banking & Finance Industry, candidates with less experience will be considered as Manager/Officer;
- Extensive knowledge of financial service regulatory and licensing requirements;
- Good Command of Chinese and English (including Putonghua);
- A strong team player with excellent inter-personal and communication skills.
All personal data collected will be kept in strict confidence and would only be used for recruitment purpose.