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Compliance ManagerBlackwell Global Investments (HK) Limited
Compliance ManagerBlackwell Global Investments (HK) Limited

Job Highlights

  • Degree holder with 5 years' relevant experience
  • Knowledge on SFC and HKEX rules and regulations
  • Hardworking, mature and excellent analytical skill

Job Description

Job Description

Responsibilities:

  • Handle a full spectrum of compliance duties in relation to Type 1, 2, 4, 5, 9 RA;
  • Act as main point of contact with regulators, legal counsels and consultants and handle inquiries and information requests from regulatory bodies and auditors, e.g. SFC and HKEX;
  • Plan and conduct regular audits and investigations to ensure the fulfillment of regulatory compliance with Securities and Futures Ordinance and other relevant rules and regulations;
  • Formulate and execute policies and procedures to perform risk management for the Company business;
  • Conduct regular compliance checks and AML checking;
  • Keep abreast of updated regulations and provide advice to business departments on compliance related issues;
  • Handle client complaints and perform necessary investigation;
  • Prepare compliance training to staffs;
  • Engage in ad-hoc project in relation to new and innovative financial services;
  • MIC for compliance function.

 

Requirements:

  • Degree holder or above in Finance, Law or related disciplines;
  • 5 years’ relevant experiences in securities firms or related industries;
  • Knowledge on SFC & HKEX rules and regulations is a MUST;
  • Hardworking, responsible and mature;
  • Excellent presentation skills and strong in problem solving and analytical skills;
  • Proficient in both written and spoken English and Chinese, Mandarin is a plus;

 

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Additional Information

Career Level
Senior
Qualification
Degree
Years of Experience
5 years
Employment Type
Full Time, Permanent

Company Overview

Blackwell Global Investment (HK) Limited is a new set up company in Hong Kong and expending our business including securities,global futures, fx and many financial products .Our group company is a Global Broker Since 2010, Blackwell Global has supported clients in over 30 countries. We are a growing firm with 9 offices situated in Auckland, Beijing, Hong Kong, Lagos, Limassol, London, Melbourne, Shanghai and Singapore, as well as an international network of clients and partners.

Blackwell Global is located in the central business district of Auckland in New Zealand. It is a registered New Zealand Financial Services Provider (FSP No. 3061) and a member of the Financial Dispute Resolutions Scheme NZ within New Zealand’s financial markets regulatory structure. It is also supervised by the Financial Markets Authority (FMA) and complies with fair dealing provisions in the Financial Markets Conduct Act 2014. Blackwell Global is synonymous with service excellence and innovation, having gained recognition within the industry by earning a total of 13 awards and accolades from various notable awarding bodies since our 2nd year of business.