Compliance Manager
Regal Executives Limited
- Company Industries:Others
Job Information
- Post Date:2019-01-09
- Location:Central
- Salary:Salary provided
- Employment Type:Full Time, Permanent
- Job Function:Financial Services Company Secretary Legal & Compliance
Job Description
Our clients, a Top-tier PRC Financial Institute with SFC licenses is currently looking for a Compliance Manager to join their expanding team.
Responsibilities:
- Cover Asset Management, Brokerage and/or Corporate Finance business;
- Responsible for compliance reviewing on investment products;
- Provide advisory services to business units on compliance and legal related matters;
- Liaise with SFC and other regulators;
- Responsible for all licenses application;
- Update operating manuals and ensure the processes are in compliance with regulatory guidelines and internal policies;
- Drafting and managing the roll out of compliance policies, procedures, guidelines and any associated training requirements.
Requirements:
- At least 3-5 years of compliance experience in Banking & Finance Industry, Extensive knowledge of financial service regulatory and licensing requirements;
- Good Command of Chinese and English (including Putonghua);
- A strong team player with excellent inter-personal and communication skills.
- Candidates with less experience will be considered as Officer;
All personal data collected will be kept in strict confidence and would only be used for recruitment purpose only.
Company Info
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