• Permanent, Full time
  • Randstad Hong Kong
  • 22 Apr 19

Senior Regulatory Compliance Manager - SFC Full Licensed Corp

  • Hong Kong
  • Competitive
  • Full time

Senior Regulatory Compliance Manager - SFC Full Licensed Corp

job description

about the company.
Our client is a full licensed financial institution with strong presence in the region.

about the job.

  • Identify and evaluate compliance risks of the operations and business activities
  • Provide day to day regulatory advice and guidance on rules and internal policies and ensure the business unit in compliance with the law, rules and regulations
  • Review business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirements
  • Partner with other Compliance and Legal teams on assessing and measuring compliance and related risks
  • Draft, revise, update and maintain Compliance policies and manuals of the business units
  • Review, enhance and develop the compliance programs, procedures and guidelines
  • Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
  • Deliver in-house compliance training to the business unit and advice to the management

skills & experiences required.

  • Degree holder of Laws, Finance or other related disciplines
  • 5 years' relevant compliance experience in securities brokerage or asset management field
  • Candidates with compliance exposure in SFC full licensed corp is an advantage
  • Good command of written and spoken English and Chinese including Putonghua

To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Nicole Hui on + 852 2232 3421 or email: nicole.hui@randstad.com.hk

sfc licensed corp, sfc type, securities

securities, sfc, license corp, sfc type

Senior Regulatory Compliance Manager, SFC Full Licensed Corp - VP

educational requirements
Bachelor Degree