Compliance Manager

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Achievers Recruitment Limited
  • 20 Oct 17 2017-10-20

Our client is an investment holding company, provides various financial services to individual, corporate, and institutional clients in Hong Kong, Mainland China, and internationally. It operates through Brokerage, Advisory, Asset Management, Website Management, and Investments segments. In order to cope with their expansion, they are now looking for a talented compliance manager professional to join their team in Hong Kong office.

Responsibilities

  • Lead a compliance team designated for the Group's securities business engaged in Types 1, 2, 4, 6 and 9 regulated activities
  • Prepare licence applications for the company, responsible officers and licensed representatives
  • Carry out regular monitoring of trading and settlement activities to identify potential non-compliance incidents and irregularities (including but not limited to staff misconduct, money laundering and market misconduct) for further investigation and filing of suspicious report
  • Review product due diligence, client suitability, marketing and disclosure issues arising from distribution of various investment products
  • Review error incidents and customer complaints to identify underlying problems and remedial actions
  • Handle regulatory enquiries, inspections and investigations
  • Design and deliver compliance trainings for front and back office staff

Requirements

  • Hold a university degree, post-secondary diploma or professional qualification, preferably in finance / accounting / business / legal disciplines
  • At least 5 years of compliance-related experience in the securities industry
  • Mature, responsible, independent and attentive to details
  • With excellent presentation, interpersonal and supervisory skills