Assistant Manager/Manager, Compliance Assistant Manager/Manager, Compliance …

China Shandong Hi-Speeed Financial Group Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 26 May 20
Negotiable
China Shandong Hi-Speeed Financial Group Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 26 May 20
Negotiable
We invite the high caliber to join us.

Job Responsibilities:

  1. Drafting and reviewing all compliance procedures/policies, ensuring that they are properly developed and monitored to align with the relevant rules and regulations;
  2. Handling KYC, AML-related issues and projects;
  3. Maintenance of control room functions, such as, Chinese Walls, various restricted and watch lists and also filings of the disclosure of interests;
  4. Handling SFC filing, enquiries and investigations;
  5. Maintenance of surveillance functions, such as, staff dealing monitorings and CPTs registers;
  6. Handling FATCA and CRS issues;
  7. Facilitating and coordinating compliance trainings for staff;
  8. Any other duties assigned by Department Head.

Job Requirements:

  1. University Graduate or above in business administration, accountancy, finance or law discipline;
  2. Minimum 3 years of work experience in securities houses/ asset managers/ financial advisors or sponsors (SFC RA 1, 6, 9 firms); preferably in medium to large scale Mainland financial institutions;
  3. Must be detail-oriented, independent, responsible and able to work under pressure;
  4. Strong analytical mind and ability to review legal or regulatory documents;
  5. Immediate availability or short notice is highly preferred;
  6. Excellent English and Chinese, must speak Mandarin;
  7. Immediately available preferred.
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