Senior Compliance Manager (Up to 100K) Senior Compliance Manager (Up to 100K) …

WallStone Partners & Company Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 25 Feb 20
100K
WallStone Partners & Company Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 25 Feb 20
100K
a well established financial group.

Key Accountabilities

  • Handle compliance related matters for corporate finance activities including but not limited to review corporate/legal/compliance documentation, perform AML assessment and independence checks and liaise with solicitors, regulatory authorities and other relevant parties as required throughout deal execution process.
  • Maintain and review compliance manuals, policies, procedures and systems to ensure that all CF and brokerage activities are in compliance with the applicable laws, regulatory requirements and the Group's policies.
  • Conduct continuous compliance review and surveillance exercises on all transactions and activities related to Type 1, 4 & 6 regulated activities.
  • Liaising with external counsels on regulatory aspects of transactions.
  • Oversee of compliance and reporting requirements including CRS & FATCA.
  • Assume responsibility for training and giving direction to junior staff and new staff of compliance matters.
  • Advise the board and COO in general compliance issues.

 

Requirements:

  • Bachelor’s degree from a major university with 5+ years of legal and compliance experience dealing with Type 6 regulated activities in major investment banks or SFC licensed corporations
  • Strong understanding of information control and conflicts of interest issues, as well as surveillance and monitoring experience
  • Strong working knowledge of securities law and capital markets practice
  • Strong command of spoken and written business English and Chinese
  • Prior experience in control and risk management procedures for key investment products is desirable

 

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