A reputable Chinese Asset Management company is looking for a compliance manager or director with SFC Type 1 4 9 related experience.
- 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.
- 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;