Compliance Manager
CLC Securities Limited
- Company Industries:Financial Services
Job Information
- Post Date:2017-02-14
- Career Level:Senior
- Location:Not Specified
- Salary:Salary provided
- Employment Type:Full Time
- Job Function:Corporate Banking Financial Services Legal & Compliance
Job Description
CLC Securities Limited & CLC Futures Limited is the subsidiary of CLC. The company is now hiring high caliber candidates to fill the following positions.
Responsibilities
- Provide day-to-day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business units in compliance with the laws, rules and regulations;
- Review business processes, enhance and develop procedures and guidelines to ensure compliance with regulatory requirements;
- Handle licensing issue;
- Handle company secretarial work;
- Perform and review regular compliance checking;
- Identify and evaluate regulatory and AML/CFT risks of the operations and business activities for the Company;
- Manage relationship with the relevant Exchanges and SFC, handling queries and requests;
- Deliver in-house compliance training to business units and provide advice to the management;
- Perform other ad hoc duties as assigned.
Requirements
- Degree holder in Law, Finance, Accounting, Business or related discipline(s)
- At least 5 years solid relevant experience in securities brokerage firm, fund house or investment bank or sizable financial institutional
- Hands-on experience of company secretarial work;
- Familiar with HK AML rules, SFO and HKEX rules in securities, futures, asset management and corporate finance as well as the operations, products and services in licensed corporations
- Able to work independently and communicate effectively with internal and external parties
- Good command of written and spoken English and Chinese including Putonghua
- Immediate availability will be an advantage
Please send full resume with current and expected salary and available date to h r @ c l c h k .c o m. Data collected will be kept in strict confidence and used for recruitment purposes only.
Company Info
Established in 2011, CLC is a Hong Kong-based investment-led financial services firm, managing multiple strategies worldwide. We generate attractive investment returns by following a disciplined approach with unique insights and deep research. Our distinctive culture has gathered like-minded, high-quality people who are open-minded and accountable to grow with us, and provided our investment partners with ever-improving solutions.
To know more, please visit us at: www.clchk.com.
For more information about the position, please visit
Financial Analyst.
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