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Head of Compliance / Compliance ManagerShang International Finance Limited
  • Central
  • Salary negotiable
  • Posted on 17 May 2019
Head of Compliance / Compliance ManagerShang International Finance Limited
Job Highlights
  • Head of Compliance
  • Degree in Law, Accounting, Finance
  • At least 10 years' relevant experience
Job Description

Job Descriptions

Provide day to day regulatory advices on rules, licensing and internal control policies, ensure the business unit in compliance with the law, rules and regulations

Provide compliance support in reviewing and negotiating service contracts, agreements and/or other legal documentation

Undertake regular compliance monitoring reviews

Coordinate and liaise with regulatory authorities on enquiries, reporting, inspection and/or investigation

Liaise with external legal counsel and/or other professional parties

Update and/or enhance internal policies and procedures to ensure they reflect current rules and regulations, industry best practice and changes in business structure / activities

Develop and deliver compliance trainings

 

Qualifications

Degree in Law, Accounting, Finance or other related discipline with at least 8 years' relevant experience (less experience can be considered as Compliance Manager)

Good knowledge of the financial services industry, and its relevant rules and regulations

Strong leadership qualities, excellent inter-personal skills and multi-cultural awareness

Able to work independently, good organizational and time management skills with proficiency to multi-task and prioritize work

Fluent in (both spoken and written) English, Cantonese and Mandarin

 

Additional Information
Career Level
Not Specified
Qualification
Not Specified
Years of Experience
Not Specified
Employment Type
Full Time
Benefits
Dental insurance, Five-day work week, Medical insurance, Performance bonus
Company details

With its support from Shang Finance and a through understanding of the China and Hong Kong financial markets, Shang International Finance Limited (“Shang Intl”) has established a solid foundation in China and Hong Kong and has a good relationship with international and Chinese agencies, forming a strong sales network and pipeline. With our team of experience professional, we are capable of delivering the most appropriate solutions to our clients and assisting them by helping them to establish their investment and financing platform, and by combining our investment banking and asset management services providing our domestic and overseas clients a one stop cross-border financial service. Shang Intl is reforming to be a comprehensive and professional investment bank withType1, 4, 6, 9 regulated activities licenses issued by SFC and Money Lenders License.

尚融國際憑藉母公司尚融資本的全力支援和對中國國情及香港金融市場的透徹認識,在中港兩地奠定了穩固的根基,並與國際性機構及各中資機構建立了良好的關係,具備完善的銷售網路和管道且擁有經驗豐富的資深專才隊伍,能根據不同客戶的需求提供多元化的服務,為客戶搭建投資與融資相結合的平,為境內外客戶提供投行與資管相結合、投資與融資相結合的跨境金融一站式服務。尚融國際正在重新組建成持有香港證監會頒發的1、4、6、9號全業務牌照以及放貸人牌照的專業投資銀行。

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