Compliance Manager

  • 70K or above plus discretionary bonus
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Walker Andersen , EA Licence No: 16S8094
  • 21 Jun 18 2018-06-21

Our client is asset management company which provides wide range of services to professional investors and institutional clients relate to asset management and investment sectors.

~Job Responsibilities
•Ensure compliance with the rules and regulations of stock exchanges and local regulatory requirement, e.g. SFC, HKEX, etc
•Handle day to day operation related to regulatory reporting matters
•Perform surveillance exercise on internal controls and compliance procedures to ensure full adherence with internal policies and external regulatory requirements
•Review contracts and business agreements
•Acquire the necessary licence and permission from authorities
•Provide legal and compliance support to management and business units for the Group
•Review concerns or questions related to compliance issue and provide consultative support
•Update compliance policies and  procedures and coordinate with business units to ensure due compliance with regulatory requirements
•Work closely with Risk Manager to review, identify, recommend and implementation of control measures (compliance, operation risks, etc.) to ensure adequate controls and procedures are in place
•Provide project management support or coordination to COO, RO, and Risk Manager for risk, control & compliance matters

 

Requirements
•At least 5 - 7 years relevant experience in financial institutions
•Experience of risk management / controlling / auditing or related discipline
•University degree in Law, Finance, Business or related disciplines
•Possess relevant experience in legal & compliance, good knowledge of  regulatory requirements, procedures and guidelines
•Self-motivated, meticulous, analytical and strong organizational skills
•Good communication skills, good spoken English and Cantonese, both verbal and written
•Good coordination capabilities and project management skills
•Positive and supportive working attitude, multiple tasking and good time management ability to adapt to a continuously evolving system and work-flow environment