Manager/ Senior Consultant, Regulatory Compliance

  • All round development
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Mario Recruitment Limited
  • 20 Apr 18 2018-04-20

We are now hiring for our mother company Compliance Consulting Limited for business expansion! Compliance Consulting Limited has been established since 2003 in Hong Kong as a pioneer in the industry with strong reputation and successful track records. Our team of compliance specialists provides clients with consultation advice and cost-effective business solutions including SFC licensing, compliance outsourcing, facilitating and guiding the registration of companies and their representatives in compliance with the current regulatory regime.

Job Responsibilities:

  • Conduct annual compliance reviews on existing client portfolio
  • Manage and ensure policies and procedures are in compliance with Securities and Futures Ordinance and Codes and Guidelines;
  • Assist in all SFC regulated activities to ensure full regulatory compliance and good market practice;
  • Establish, enhance, monitor and perform compliance controls over operations and business activities
  • Develop and implement risk management, internal control and Compliance assurance program within the organization

Job Requirements:

  • University graduate (preferably in Law or Accountancy), professional qualification in CPA/CFA would be an advantage;
  • At least 5-6 years' solid compliance experience in sizeable financial intermediaries, professional firms or regulator;
  • Understanding of FRR would be an advantage
  • Familiar with the Securities and Futures Ordinance and Codes and Guidelines issued by the Securities and Futures Commission;
  • Well organized, self-motivated and good interpersonal skill; and
  • Good command of spoken and written English, Cantonese and Mandarin