Manager/ Senior Manager- Compliance Manager/ Senior Manager- Compliance …

ConnectedGroup Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 28 May 20
Negotiable
ConnectedGroup Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 28 May 20
Negotiable
·Renowned Restricted License Bank ·Regulatory Compliance Focus ·Competitive Remuneration

Our client, a renowned restricted license bank, is looking for a Manager or Senior Manager- Regulatory Compliance. This position primarily responsible for ensuring the overall compliance of the Company with relevant rules, regulations and/or ordinances promulgated by the relevant authorities.

Responsibilities:

  • Ensure that the Compliance Manual and all policies and procedures prepared by the Compliance Department are kept up to date.
  • Monitor the Company's regulated business activities and ensures compliance with the relevant rules, regulations and/or ordinances. This includes conducting compliance checks on a monthly and ad hoc basis if needed.
  • Implement the required corrective action and prepares the necessary reports to senior management for any regulatory issues.
  • Prepare and ensure the accurate and timely submission of the required regulatory reports to the relevant authorities.
  • Regularly liaise and communicate with regulators to ensure compliance concerns are immediately addressed. Coordinate and respond to queries from internal and external auditors as well as regulators.
  • Monitor and distribute key and applicable communications and updates from the regulatory authorities to relevant departments within the Company.
  • Where required, conduct training to all staff on the relevant rules, regulations and/or ordinances. Ensure that all staff are updated on the relevant changes in the regulatory framework.
  • In the event of regulatory breaches, where required, inform the HKMA/SFC/ other regulatory bodies and senior management of such violations, and recommends the proper corrective action.
  • Prepare required reports for management including the Risk Management Committee at both Board and Management levels.
  • Assist with AML/CFT transaction monitoring and any other tasks as required by senior management from time to time.

Responsibilities:

  • University graduated in Finance, Business Administration, or relevant disciplines.
  • Minimum 7 years' experience in Compliance, Risk Management or legal gained from financial institutions
  • Proficiency in both HKMA and SFC regulations, risk management processes, investment products and services.
  • Detail- oriented, mature and able to work independently
  • Good communication and interpersonal skills
  • Proficient in both written and spoken English and Chinese
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