Compliance Manager / Senior Manager

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Achievers Recruitment Limited
  • 24 Aug 17

Our Client is the International Asset Management arm of a Financial Group backed by a major bank in China. In order to cope with their expansion, they are now looking for a talented compliance manager professional to join their team in Hong Kong office.

Responsbilities

  • Responsible for liaison, correspondence, enquiries and reporting with regulators (SFC)
  • Responsible for compliance with products and marketing related materials, disclosure and risk management
  • Participate in the development & implementation of compliance controls
  • Compile and update the company’s compliance manual and important compliance policies
  • Design appropriate policies, monitoring controls and implement necessary actions of compliance program.
  • Monitoring the daily business / trading activities to ensure compliance with internal policies / procedures and external regulations.
  • Provide compliance advisory in supporting strategic initiatives of the company.

​Requirements 

  • Bachelor's degree, preferably majoring in finance
  • Minimum 5 years of related experience and at least 3 years in compliance
  • Sound knowledge on regulatory requirements and licensing requirements
  • Strong business acumen and communication and presentation skills
  • Excellent written and verbal command of English and Chinese, fluency in Putonghua

Interested parties please send your resume to cv-fs@achievers.com.hk

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