Compliance Manager
Wilson Securities Limited
- Company Industries:Financial Services
Job Information
- Post Date:2018-02-14
- Career Level:Middle
- Location:Not Specified
- Salary:Salary negotiable
- Employment Type:Full Time, Permanent
- Job Function:Administration / Operation Manager Legal & Compliance
Job Description
Duties:
- Review and keep up-to-date compliance policies, documents and procedures
- Review business documents and operation flow and related materials to ensure compliance of relevant laws and SFC regulations
- Provide compliance and regulatory advice for all business transactions and new business initiatives
- Perform compliance reviews and self-assessments in accordance with regulatory and internal requirements
- To take up the position of Manager-in-charge of Compliance
- Liaise with the relevant regulators and external parties on compliance and regulatory issues
- Take care of licensing issues and conduct monitoring activities
- Handle ad-hoc projects assigned by senior management
Requirements:
- Degree in Law, Business or related disciplines
- At least 2 years of compliance experience gained from Hong Kong securities business
- Relevant compliance experience in most of Type 1,4,6,9 regulated activities would have definite advantages
- Familiar with SFC regulations, AML and other relevant legal and regulatory requirements
- Good command of English, Chinese and fluent Putonghua
- Strong organizational skills and report writing skills
- Reliable with integrity, responsibility and strong commercial sense
Interested parties please click "Apply Now" to submit your application
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Company Info
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