Compliance Manager / Director Compliance Manager / Director …

Trinity Search Limited
in Hong Kong
Permanent, Full time
Last application, 16 Sep 21
60000-80000
Trinity Search Limited
in Hong Kong
Permanent, Full time
Last application, 16 Sep 21
60000-80000
Posted by:
Rany Gao • Recruiter
Posted by:
Rany Gao
Recruiter
A reputable Chinese Asset Management company is looking for a compliance manager or director with SFC Type 1 4 9 related experience.

Responsibilities:

  • Provide daily regulatory advice and guidance on internal policies including review business processes to ensure compliance with regulatory requirements;
  • Supervising the compliance of all business activities, evaluate compliance risks and provide alternative solutions;
  • Conducting In-house Compliance training; 
  • Update compliance policies and manuals of the business units as necessary on ongoing ;
  • Manage relationship with SFC and HKEX, etc., handle queries and requests; 
  • Others ad-hoc compliance relevant tasks. 

Requirements:

  • Degree holder in Law, Finance or other related disciplines; 
  • At least 5 years relevant compliance experience in securities industry 
  • Strong presentation and communication skills; 
  • Good command of spoken and written English, Mandarin and Cantonese;
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