Manager/Senior Manager, Compliance

  • Competitive & Negotiable
  • Hong Kong
  • Permanent, Full time
  • Hywin International
  • 13 Nov 18

Hywin Financial Holding Group was established in 1989, headquartered in China’s international financial center – Shanghai. Currently, the group has more than 20 wholly-owned and controlled subsidiaries, over 5,000 staff, and more than 100 billion Chinese yuan in assets under management. Our business network covers the entire world, including over 50 Chinese cities, Hong Kong, the US, the UK, and other countries and regions. Hywin International is wholy-owned by Hywin Financial Holding Group.

Job Duties:

  • Periodically conducts audits and reviews to ensure execution of compliance standards
  • Responsible for conducting investigations into suspected irregularities and presenting findings to all relevant stakeholders
  • To prepare reports to regulators on suspected market misconduct behavior in accordance with applicable laws and regulation
  • Writes and distributes documents that educate others on how to improve compliance
  • Examines and improves auditing processes to prevent compliance issues or resolve them in a timely manner
  • To provide advice on enhancement of trade surveillance / investigation approaches for new detection scenarios as and when required
  • To act as an independent review and evaluation body to ensure that compliance issues/concerns within the Company are being appropriately evaluated, investigated and resolved, including but not limited to investment compliance, KYC & AML issues etc.

 

Skills and Qualifications:

  • A recognized Bachelor's or Master's Degree in Law / Finance / Accounting / Business or related disciplines
  • Highly knowledgeable of Securities and Futures Ordinance and the applicable statutory and regulatory requirements
  • Good analytical skills to handle a large amount of data and regulatory information requests
  • 8+ years of solid and hands-on work experience in compliance is required yet preferably in the private banking and/or wealth management sectors
  • Work experience in reputable financial institutions and compliance advisory firms
  • Fluent in Mandarin, Cantonese and English