Responsibilities:

• Identify and evaluate compliance risks of the operations and business activities for Brokerage and Asset Management business and provide alternative and compliance solutions
• Provide day to day regulatory advice and guidance on rules and internal policies including AML and its latest updates; review business processes and new initiatives to ensure compliance with regulatory requirements
• Partner with other Legal team on assessing and measuring compliance and related risks, and developing common standards and practices
• Conduct monitoring activities including desk reviews, thematic reviews and AML compliance review wherever appropriate for compliance with regulatory requirements
• Draft, revise, update and maintain compliance policies and manuals of the business units as necessary on ongoing basis
• Review, enhance and develop the compliance programs, procedures and guidelines for the business unit
• Deliver in-house compliance training to the business unit and provide advice to the management

Requirements: 

• Degree holder in Law, Finance or other related disciplines
• Minimum 3-5 years of relevant hands-on compliance experience in Securities, Asset Management and Finance industry
• Good understanding of HK AML rules and SFO
• Strong interpersonal and negotiating skills and an ability to work under pressure
• Strong sense of responsibility, self-disciplined, initiative and work independently
• Proficient in written and spoken English and Chinese (including Putonghua)
• Candidate with less experience will be considered as Assistant Compliance Manager

 
We offer competitive remuneration including career prospects to the right candidate. Interested parties please click the "Apply Now" button to send your resume with date of availability,current and expected salary to the Human Resources Department.

(All personal data collected will be treated in the strictest confidentiality and used for recruitment purpose only.)