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.