CLC Securities Limited & CLC Futures Limited is the subsidiary of CLC. The company is now hiring high caliber candidates to fill the following positions.

 Compliance Manager

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.

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Responsible Officers

Responsibilities

• Supervise and monitor day-to-day operations, including all SFC regulated activities, margin and credit risk control, to ensure all activities comply with HKSFC rules, regulations and regulatory compliance;
• Review and update the operational and internal control procedures;
• Prepare and maintain a proper documentation of operational policies and procedures;
• Oversee Settlement and Operational Department;
• Review financial reporting that complies with SFO;
• Handle matters of compliance cases and complaints;
• Provide support and assist senior management in business development and market plans;
• Perform other duties as assigned

Requirements

• Immediate available is highly preferred
• Current SFC Type 1 & 2 R.O. License holder with minimum 2 - 3 years of supervisory experience in brokerage firm is highly preferred (Well experienced representative who is qualified to be applied for the R.O. will also be considered);
• Solid knowledge of Trading systems (e.g. Sharp Point system);
• Experience and understanding of Front-end Trading (both Securities and Futures) operation and control;
• Experience and understanding of Middle and Back office operation (including Clearing and settlement of CCASS & DCASS; FRR report review and Liquid capital calculation);
• Good knowledge of SFC ordinance, regulations and guidelines of relevant regulatory bodies, e.g. SFC and HKEx;
• Knowledge and trading experience in Global Futures and US Stock would be definitely advantages
• Business resources are preferred

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.

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.