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Senior Compliance Manager/ Compliance Manager, Central ComplianceGuotai Junan International Holdings Limited
Senior Compliance Manager/ Compliance Manager, Central ComplianceGuotai Junan International Holdings Limited

Job Highlights

  • Min. 5 years relevant experience
  • Good knowledge in SFC regulations and practices
  • Sound knowledge in financial products

Job Description

Responsibilities:

  • 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.

 

Requirements:

  • 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.)

 

Additional Information

Career Level
Senior
Qualification
Postgraduate
Years of Experience
5 years
Employment Type
Full Time, Permanent
Benefits
Dental insurance, Five-day work week, Life insurance, Medical insurance, Performance bonus
Company Website

Company Overview

Guotai Junan International Holdings, a well established and reputable financial group in Hong Kong, is looking for high caliber professionals to take up the following positions:-

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