Head of Compliance Head of Compliance …

Frontier Financial Group
in Hong Kong
Permanent, Full time
Last application, 23 Nov 20
70K-90K
Frontier Financial Group
in Hong Kong
Permanent, Full time
Last application, 23 Nov 20
70K-90K
Posted by:
HR team • Recruiter
Posted by:
HR team
Recruiter
Head of Compliance

Responsibilities:

Review and enhance compliance framework on Type 1, 4, and 9 regulated activities
Review client account opening forms;
Conduct trade surveillance, AML and other compliance checks;
Draft and maintain compliance policies and procedures;
Perform monthly personal account dealing reviews;
Conduct continuous professional training including preparation of training materials
Review and monitor the group ongoing and new business expansion in compliance with requirements of relevant regulatory bodies;
Work closely with the team to provide daily legal & compliance support for the ongoing business requirements
Conduct regular compliance review on company policies
Ensure internal control procedures manuals are up-to-date and in compliance with regulatory requirements
Handle inquiries and investigation from SFC and HKEx
Perform ad hoc duties assigned

 

  Requirements:

Degree in Finance or Law or other related disciplines
Minimum 8 years' relevant experience in risk and compliance management in Securities, Asset Management Industry
Sound knowledge of Securities products, the relevant SFC ordinances and related regulations
Close liaison with regulatory bodies such as SFC
Good analytical, communication and interpersonal skills
Strong PC skills in Microsoft Office
Good command of both spoken and written English, Cantonese and Putonghua

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