Assistant Manager, Regulatory Compliance - Top Tier Securities Assistant Manager, Regulatory Compliance - Top  …

Gravitas Recruitment Group
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 19 Jan 20
Up to GBP0.00 per annum
Gravitas Recruitment Group
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 19 Jan 20
Up to GBP0.00 per annum
Our client is a highly recognisable stock brokerage firm with major business activities including Corporate Finance, Brokerage, Asset Management, Wealth Management, Institutional Equities, Currency and Commodities. The successful candidate will be supporting the compliance function in managing all regulatory enquiries from business and providing regulatory advice on a day-to-day basis. You will be part of the team to ensure the group is operating in line with laws and regulations.

Our client is a highly recognisable stock brokerage firm with major business activities including Corporate Finance, Brokerage, Asset Management, Wealth Management, Institutional Equities, Currency and Commodities. Due to consistent ongoing growth, they are now searching for an experienced, high-calibre candidates to lead the compliance team.

The successful candidate will be supporting the compliance function in managing all regulatory enquiries from business and providing regulatory advice on a day-to-day basis. You will be part of the team to ensure the group is operating in line with laws and regulations.

Responsibilities

  • Handling compliance enquiries for type 1, 2, 4, 5, 6 and 9 regulated activities
  • Handling regulators' inquiries and investigation
  • Conduct regulatory advisory to business and management
  • Perform monitoring and surveillance activities
  • Revise and update compliance policies and manuals
  • Coordinate compliance trainings, prepare regular repors and other ad-hoc tasks

Requirements

  • 3-5 years' compliance experience at FI or regulatory authorities
  • Good knowledge of SFO and SFC regulations for type 1, 2, 4, 5, 6 and 9 activities
  • Good command of English and Chinese including Putonghua
  • Good communication and analytical skills


What's On Offer

  • Well-known brand name, sizeable company
  • Dynamic working environment & excellent career path
  • Offer attractive remuneration package and comprehensive fringe benefits

Contact: Ruby So

For an initial confidential discussion please contact Ruby So at +852 3907 0744. You can also email your most updated CV to r.so@gravitasgroup.com

Close
Loading...