Compliance Manager / Senior Compliance Officer

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • Oceanwide Securities Company Limited
  • 18 Oct 17 2017-10-18

Compliance Manager / Senior Compliance Officer

Compliance Manager

Job Responsibilities: 

 

  • Lead a compliance team designated for the Group's securities business engaged in Types 1, 2, 4, 6 and 9 regulated activites
  • Prepare licence applications for the company, responsible officers and licensed representatives
  • Carry out regular monitor 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

Job 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

 

Senior Compliance Officer

Job Responsibilities:

  • Submitting licence applications to the regulatory bodies
  • Monitoring the daily business / trading activities to ensure compliance with internal policies / procedures and external regulations
  • Maintaining the compliance documentation and disclosure filing systems

Job Requirements:

  • Hold a university degree or post-secondary diploma, preferably in finance / accounting / business / legal discipline
  • At least three years of experience in the financial industry or auditing field preferred
  • Mature, responsible, independent and self-initiated
  • Possess excellent communication and interpersonal skills

We offer attractive salary, benefits and 5-day workweek to the successful applicant.  Please send your resume with present and expected salary to the Group Human Resources Manager. (Please quote the job reference number on the email subject line.)

 

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