Our client is a PRC ibank providing full spectrum of financial service related to SFC regulated activities licence type 1,2,4,5,6 and 9. To cope with their business growth, they are now looking for a Compliance Assistant Manager to join them.
- Keep track of regulatory requirements, review and update internal control policies
- Undertake regular compliance monitoring reviews
- Advice and support other business units on compliance functions, including but not limited to Securities Brokerage, Futures, Corporate Finance and Asset Management etc.;
- Coordinate and liaise with regulatory authorities on enquiries, reporting, inspection or investigation
- Assist in developing and delivering compliance training and reviewing relevant legal documents
- Perform ad-hoc duties as assigned
- Degree holder in Finance, Accounting, Economics or related disciplines
- At least 3 years of related experience
- Solid knowledge of SFC rules and guidelines and regulatory requirements is a MUST
- Excellent command in English and Chinese
For interested candidates, please send us your full resume with your current and expected salary. All information collected will be strictly used for recruitment purpose only.