- Handle and review enquiries from regulators on trade-related enquiries, demand for information and investigation related requests;
- Handle statutory reporting required under the Securities and Futures Ordinance including Disclosure of Interests, Short Position Reporting and Large Open Position Reporting
- Handle license application and maintenance;
- Provide compliance advice and support to different business departments;
- Update and maintain compliance policies and procedures manuals;
- Deliver in-house Compliance training to business units; and
- Handle ad hoc projects on new regulatory changes/development.
- University degree holder in Finance or related discipline;
- Minimum 5 years’ compliance exposure in dealing with enquiries from regulators on enforcement, intermediaries supervision and licensing issues is an advantage;
- Sound knowledge in financial products;
- Good knowledge in Microsoft Office; and
- Proficiency in both written and spoken English and Chinese, fluency in Putonghua is Must.
- Candidates with less experience will be considered as Compliance Manager
We offer an attractive remuneration
package to the right candidate. Interested parties please forward your full resume with availability, expected salary by pressing "Apply Now" or send it to 27/F., Low Block, Grand Millennium Plaza, 181 Queen’s Road, Central, Hong Kong.
(Data collected will be kept strictly confidential and used for recruitment purpose only.)