My Client an International Financial Planning company is urgently looking for Compliance Manager to work in their expanding and professional team

Responsibilities:

• To be the Primary Contact person in events of dealing with the regulatory bodies. Report immediately and provide advisory to the Responsible Officers.
• Observe the latest information given by the regulatory bodies and distribute such information to appropriate personnel in a reasonable time-frame (such as the SFC’s enforcement news and circulars, and HKEX’s circulars.)
• Monitor the House’s regulated activities, prevent the occurrence of breaching of SFO and the House’s regulated activity operation rules, and report to the Responsible Officer immediately when such occurrence tends to arise.
• Update the House’s business plan, operation manual, employee’s code of conduct, compliance manual, and guidelines on anti-money laundering and counter-terrorist financing etc when the latest information is available. And grant approval of the new versions from the Responsible Officers before publishing and submitting to regulatory bodies.
• Monitor both inside and outside staff dealing activities. Ensure the Responsible Officer’s approval is given prior to the staff dealing of research analyst occurs. Responsible for the collection of the monthly statements submitted by licensed persons and employees who maintain trading accounts outside of the House. Such collection of the monthly statements is subject to the Responsible Officers’ review.
• Assist the Accounting Department in the preparation and the submission of FRR (monthly and quarterly) to SFC. Monitor daily liquid capital of the House and prevent it dropping below the requirement set by the regulatory bodies.
• Responsible for all licensing applications and supporting documents.
• Review and update the Account Opening Forms and the supplements (such as, Terms and Conditions Booklet, Third Party Authorization, Professional Investors Declaration, Standing Authority and the annual renewals of the above.)
• To be a member of the Credit Risk Committee, assist the Responsible Officers in evaluating credit risk and market risk. Carry out appropriate company and land searches for an investor who wishes to obtain a relative high credit and/or margin facilities from the House.
• Issues margin calls and perform liquidations under the Responsible Officer’s approvals when no appropriate actions taken for the relevant accounts by the account holders
• Arrange and give proper trainings to licensed persons and employees of the House (such as CPT and AML-CTF etc).
• Perform random check for telephone recording related to trading matters. Ensure such device works properly at all times.  

Requirements:

• A degree holder in Finance or Accounting, Legal related disciplines
• Knowledge of SFO and Regulatory bodies’ rules, regulations and guidelines
• At least 3 years practical experience of compliance in brokerage field
• Proficiency in MS, Excel and Word
• Good oral and written English and Chinese (Cantonese and Putonghua)

Established in Hong Kong in 1983, Gemini Personnel is a leading provider of human capital solutions with offices in Hong Kong, Shanghai, Beijing, Guangzhou, Bangkok and Singapore.

We work with our clients across a range of industries to secure the top talent in Asia for Temporary, Permanent, Executive and Interim Management assignments.

Outside of recruitment we also provide our clients with payroll management, outplacement, coaching and training support services.