About Our Client
My client is a growing securities firm with SFC license type 1,2,4, 6 and 9 and they are looking for a compliance manager.
About The Role
- Liaise with HKEX, SFC and other regulatory organizations for all compliance and licensing matters;
- Plan and conduct regular audits and investigations to ensure the fulfilment of regulatory compliance with Securities and Futures Ordinance and other relevant rules and regulations;
- Formulate and execute policies and procedures to perform risk management for the Company business;
- Report to Management directly;
- Keep abreast of updated regulations and provide advice to business departments on compliance related issues;
- Undertake ad hoc assignments or projects as required.
- Degree holder or above in Accounting, Law or related disciplines;
- 5 years' relevant experiences in securities firms or related industries;
- Knowledge on SFC & HKEX rules and regulations is a MUST;
- Hardworking, responsible and mature;
- Excellent presentation skills and strong in problem solving and analytical skills;
- Proficient in both written and spoken English and Chinese, Mandarin is a plus;
- Proficient in MS Office and Chinese typing.
Click "Apply Now" to apply for this position or call Jessie Chan at +852 3180 4945 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.