Compliance Manager

  • Competitive salary with career progression
  • Hong Kong
  • Permanent, Full time
  • Mario Recruitment Limited
  • 16 Jan 18 2018-01-16

Our client is a SFC licensed financial institution engaging in brokerage services for global futures and options trading. Their group company is listed in the Hong Kong Stock Exchange with diversified business . In light of their growing business, they would like to invite a high calibre to take up this new and leading position in their Hong Kong office.

Job Responsibilities:

  • Review and perform on the quality compliance tasks regarding the relevant legislations, rules and industry practice including sign-off of client on-boarding, new product approval, KYC procedures, AML procedures, product/client suitability, marketing material and maintenance of CPT records
  • Conduct and report on compliance monitoring on a timely basis, including but not limited to client acceptance review and regular review
  • Prepare operations manual for internal compliance departments
  • Perform various kinds of security & risk assessment
  • Develop and maintain IT Security, Risk and Compliance frameworks, policies and standards for the group
  • Conduct compliance investigation pertaining to incidents, complaints or administration issues
  • Participate in ad hoc projects

  Job Requirements:

  • Degree holder of Law, Accounting & Finance or other related disciplines
  • 5-8 years of relevant working experience in asset management/ brokerage houses/ securities houses/ auditing firms.
  • Good understanding in the futures/options trading activities is highly preferred
  • Good understanding in client on-boarding, KYC and Customer due diligence process is a must
  • Relevant compliance experience with Type 1,2,4,5 regulated activities would be an advantage
  • Familiar with SFC regulations, AML and other relevant legal and regulatory requirements
  • Flexible attitude and independent
  • Reliable with integrity, responsibility and strong commercial sense
  • Good command of English and Chinese and fluent Putonghua