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Compliance Manager / OfficerSuperb Talent Limited
Compliance Manager / OfficerSuperb Talent Limited
Job Highlights
  • Responsible for full spectrum of compliance duties
  • Update company policies, internal control menu
  • Ensure compliance with regulatory requirements
Job Description

Client Description

Our client is one of the fastest growing integrated financial services corporations in the market. With a keen eye to establish the business in the Greater China area, they are currently undergoing an extensive expansion in our headquarters in HK. As a result, they are now invite talent and seasoned candidates to join their group for the post below:

 

Key Responsibilities

  • Perform and handle full spectrum of compliance duties for the company and its affiliated companies
  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies.
  • Handle regulatory procedures in dealing with external regulatory institutions, e.g. enquiries, licensing matters, notification, annual return and survey as required by the regulators
  • To assist in developing, updating and reviewing policies, procedures and guidelines from the compliance perspective
  • To perform an internal control function to ensure the business and operations are in compliance with regulatory requirements
  • Preparing regular and ad hoc compliance report

 

The ideal candidate should possess the following qualities

  • Bachelor degree in business, finance, law or related field
  • Minimum 1-2 years compliance experience in a securities/asset management firm. Applicants previously employed in the professional firms (accounting firms, solicitors or regulators) on the audit, compliance or investigation of Securities companies or Banks will also be considered
  • Good understanding of SFO and other relevant rules and regulations
  • High sense of responsibility with good organizing, communication and presentation skill
  • Self-motivated, possessing initiative and ability to work independent
  • Good command of written & spoken English and Chinese including Mandarin
  • Candidates with more solid experience will be considered for the post of Senior Compliance Officer or Manager.

 

Interested parties, please send your FULL RESUME (in MS Word Format) with availability, present and expected salary (quoting ref. STL/201818010/JD) by email to us. 

 

 

 

Additional Information
Career Level
Middle
Qualification
Degree
Years of Experience
3 years
Employment Type
Full Time
Company details

Superb Talent Limited, a member of ListcoPRO Group, is a professional consulting firm engages in providing specialised Talent Services to listed and private companies in Hong Kong and the Greater China region.

  • talent search and talent development     
  • corporate governance strategies
  • professional training
  • company secretarial advisory

Our talent services place emphasis in the areas of talent search and talent development. The ample public companies & financial industry experience and our focus in public companies & pre-IPO clients distinguish our talent search process from others.


Address : Room 602, 6th Floor, AXA Centre, No. 151 Gloucester Road, Wanchai, Hong Kong

Tel : (852) 3628 5700

Fax: (852) 2528 9018   

Email : [email protected]    

Website  : www.superbtalent.com.hk