Sr Manager / Manager - Compliance (IPO/Asset/AML) Sr Manager / Manager - Compliance (IPO/Asset/AML) …

Levin Human Resources Services Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
500K-1M annum
Levin Human Resources Services Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
500K-1M annum
Our client is a Central Government-owned Enterprise with SFC licenses 1,2,4,6, & 9. To cope with its expansion, they are now inviting high caliber with solid experience in Compliance of IPO & Asset to join Legal & Compliance team.

Responsibilities:

  • Report to the Head of Legal & Compliance
  • Design and conduct an effective compliance framework and monitor relevant legislation/policies with respect to local statutory/policies requirements
  • Review of Corporate Finance deals including IPO, M&A & FA etc are compliance to rules and regulations
  • Design and conduct an effective compliance framework and monitor relevant legislation/policies with respect to local statutory/policies requirements
  • Set up, drafting and/or reviewing the Firm’s policies and procedures
  • Supervise AML and related functions
  • Overall internal review/controls of materials and external documents
  • Providing compliance training to ensure all standards are followed internally and appropriate procedures are in-place for internal work-flow
  • Ensure that marketing material and advertisement compliance with applicable legal & regulatory requirements

Requirements:

  • Degree in Law, Accounting, Finance or other related discipline
  • 4-8 years' relevant experience, preferably in Compliance with iBank, with solid experience in IPO / Asset & AML
  • Well-versed with Securities and Futures Ordinance and HKEx regulations
  • Knowledge of legal, asset management and securities management businesses is a definite advantage
  • Fluent Putonghua & good at Chinese writing
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