Our client, a prestige Chinese Financial Holdings, is urgently seeking for a Senior Compliance Manager, to handle overall compliance matters of different business units and cross support other business activities in Brokerage, Investment Bank and Private Equity.

RESPONSIBILITIES

•               Consolidate the compliance review framework regarding frontline business ( IBD and PE business).  Review compliance monitoring works performed by junior staff

•               Handle and liaise with SFC field visit of both Securities and Investment banking business; continuous demonstrate Compliance department as a professional training provider

•               Provide assistance to investment banking division in relation to sponsor work including annual sponsor assessment, price stabilization, independence checks, NDA and mandates vetting, placing transaction review and advisory in connection to back-office

•               Collaborate with equity research department, proprietary trading staff and senior management in respect of daily compliance issues, new development in regulatory requirements and market tends

•               Maintain “Chinese Wall”, restricted list and related procedures regarding collection & disclosure of sensitive information, review & clearance of research reports & sales documents

•               Provide cross support on other business activities (Brokerage, Investment Bank, Private Equity, etc.) such as reviewing and undertaking investigations on trade surveillance, research report clearance, regular compliance review, etc.

REQUIREMENTS

•               5 yrs+ legal & compliance in FI / regulatory body

•               Fund management experience with knowledge in securities laws, operations, products and services; sound understanding of current trends in investment banking operations 

•               Well-versed in Hong Kong Securities and Futures Ordinance, Listing Rules of HK