Compliance Manager Compliance Manager …

Rich Bay Securities Limited
in Hong Kong
Permanent, Full time
Last application, 16 Sep 21
Competitive salary
Rich Bay Securities Limited
in Hong Kong
Permanent, Full time
Last application, 16 Sep 21
Competitive salary
Posted by:
Stephen Chow • Human Resources Manager
Posted by:
Stephen Chow
Human Resources Manager

Compliance Manager

Responsibilities:

  • Identify and evaluate compliance risks of the operations and business activities for Brokerage (Types 1,2) and provide alternative and compliance solutions
  • Provide day to day regulatory advice and guidance on rules and internal policies including AML & CTF and its latest updates; review business processes and new initiatives to ensure compliance with regulatory requirements
  • Conduct monitoring activities including desk reviews, thematic reviews and AML & CTF compliance review wherever appropriate for compliance with regulatory requirements
  • Manage and liaise with SFC and regulatory bodies on all compliance related matters/enquiries;
  • Undertake ad hoc assignments as required.

Requirements: 

  • Degree holder, preferably in Finance, Accounting or Law disciplines
  • Minimum 5 years of relevant hands-on compliance experience in Securities, Asset Management and Finance industry
  • Good understanding of SFO and AML & CTF rules, regulations and guidelines of relevant regulatory authorities (such as SFC and HKEX) and risk management controls;
  • Solid understanding about middle and back office operations in brokerage firms;
  • Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills;
  • Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities (such as SFC and HKEX) and risk management controls;
  • Solid understanding about middle and back office operations in brokerage firms;
  • Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills;
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