Compliance Manager
Great Wall Securities Limited
- Company Industries:Others
Job Information
- Post Date:2018-04-25
- Career Level:Senior
- Location:Not Specified
- Salary:Salary negotiable
- Employment Type:Full Time
- Job Function:Financial Services Others
Job Description
Responsibilities:
- In-charge of the compliance department, handle license application, maintenance and reporting with SFC, CPT monitoring, ensure proper licensing with local regulators
- Promote compliance awareness across the businesses and design training on regulatory, compliance policies and procedures to company staffs
- Develop and maintain / enhance compliance related policies and procedures as well as proper internal control to ensure that Company's activities are in compliance with latest statutory and regulatory requirements
- Participate in the development & implementation of compliance controls included compliance checking, clearance of staff dealing, suspicious transaction reporting, maintenance of watch list/restricted list etc.
- Handling SFC and external enquiries
- Analyse the testing and controls procedures to ensure that the compliance monitoring is conducted effectively
- Review and approve client KYC / due diligence reports
- Responsible for overseeing the KYC process
Requirement:
- Bachelor degree from a reputable university majoring in Law, Accounting, Business, Finance or a related discipline
- Minimum 5 years solid compliance experience, preferably in brokerage house / finance group
- Familiar with the Securities and Futures Ordinance, SFC rules and regulations
- Good knowledge in investment products, fund setup and practices in FATCA are definitely advantageous
- Fluency in written English and Chinese, with verbal fluency in Mandarin
Company Info
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