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Compliance Officer/ Manager

CompliancePlus Consulting Limited

  • Company Industries:Financial Services

Job Information

  • Post Date:2017-03-06
  • Career Level:Middle
  • Location:Not Specified
  • Salary:Salary negotiable
  • Employment Type:Full Time, Permanent
  • Job Function:Financial Services  Fund Management  Legal & Compliance  

Job Description

Responsibilities

  • Develop and review compliance program and perform internal investigation
  • Develop, update and review policies, procedures and guidelines from the compliance perspective and circulate to staff for compliance purpose
  • Handle enquiries from regulators and external parties e.g. SFC
  • Handle licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators
  • Develop training materials and coordinate compliance
  • Review advertisement, marketing materials and webpage for adherence to regulatory requirements
  • Handle ad hoc tasks as assigned

 

Requirements

  • Degree holder in law, finance, accounting or related disciplines
  • Relevant experience in SFC licensed firm
  • Sound knowledge of the SFO and other relevant codes and regulations 
  • Good knowledge in AML/KYC and back/middle office operation is preferential
  • Fluent in English and Chinese (Proficiency in Mandarin will be an advantage)
  • Good team player and self-motivated with strong sense of responsibility, organizational and problem solving skills
  • Self-motivated, independent with strong communication skills
  • Professional presentation and report writing skills

 

All information received will be kept in strict confidentiality and only for employment-related purposes.

Company Info

CompliancePlus is an independent consulting firm focused on providing a complete range of proven and reliable compliance solutions to licensed firms, fund management companies and hedge fund managers in Asia. We were awarded "The Best Compliance Services Provider" in 2013 & 2017 by AsianInvestorOur dedicated team of compliance officers has years of professional experience equipped with in-depth knowledge of both functional and compliance experience in managing and minimizing regulatory, operational and reputational risks.  

As an award-winning industry leader providing compliance solutions and insights to financial institutions and hedge fund managers in Asia, CompliancePlus brings the most comprehensive and value-added compliance services to our clients, enhancing their competitiveness in the finance industry. We also devote substantial resources in staff training and development. We are now looking for Compliance Analysts and successful candidates will be offered a comprehensive and in-depth training programme to become fully equipped compliance professionals on financial rules and compliance requirements relating to financial institutions and licensed firms.

Please visit our website http://www.complianceplus.hk to learn more about us.

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