Business Compliance - (Senior) Manager Business Compliance - (Senior) Manager …

Mario Recruitment Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Competitive Package
Mario Recruitment Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Competitive Package
My client is a Chinese background financial institution with SFC Licenses in Type 1,2,3,4,5 & 9 in Hong Kong with expansion plans. They now look for a Senior Compliance Manager who is eligible to supervise the business compliance functions related to SFC regulated activities.

Job Responsibilities

  • Design and carry out compliance monitoring program to ensure the Company and its subsidiaries adherence to relevant legal and regulatory requirements
  • Provide pro-active advisory service to the product, business, operation and risk management units on compliance issues
  • Raise and monitor the compliance requests to strengthen the compliance related internal controls and processes
  • Assist the business and / or operation units in reviewing marketing campaign, policies and procedures, related agreements and documents to comply with applicable laws, rules and regulations
  • Supervise AML team, provide AML advisory support and manage AML risks
  • Conduct training to promote compliance awareness of the Company
  • Perform ad hoc compliance projects as assigned

 

Job Requirements

 

  • Degree holder in Law, Business, Finance or related disciplines
  • 5-8 years of legal and compliance experience in sizable financial institutions and/or regulatory bodies
  • Professional qualification on AML such as ACAMS, AAMLP is an advantage
  • Familiar with Securities & Futures Ordinance, Company Ordinance and other  regulatory requirements 
  • Self-motivated and pro-ctive team player with strong problem solving skills
  • Good command of written and spoken English and Chinese 

 

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