Senior Compliance Manager / Compliance Manager
China Tian Yuan Manganese Finance (Holdings) Limited
- Company Industries:Financial Services
Job Information
- Post Date:2018-05-29
- Career Level:Entry Level
- Location:Not Specified
- Salary:Salary provided
- Employment Type:Full Time, Permanent
- Job Function:Financial Services
Job Description
Responsibilities:
- Handle SFC licensing matters;
- Update compliance policies and procedures, and information on regulatory requirements;
- Liaise with regulatory authorities;
- Perform surveillance for trading activities; Involve in new products launching procedure, providing day-to-day compliance advice to different business lines
- Review and approve client AML/ KYC / due diligence reports
- Oversee the AML/ KYC process
- Perform central compliance functions (conduct staff training / CPT monitoring / reporting functions, etc.)
- Perform other ad-hoc projects and assignments as required
Requirements:
- Degree in Accountancy/ Finance/ Law and related subjects is preferred;
- Min 2 years compliance experience, preferably in brokerage house
- Familiar with the Securities and Futures Ordinance, SFC rules and regulations
- Good command of written and spoken English, Cantonese and Mandarin
We offer competitive remuneration packages to the right candidate. Interested parties please send your resume with Current & Expected Salary and the Available Date.
Company Info
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