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Compliance Manager (SFC1,4,9, Up to 100K, One man band)

WallStone Partners & Company Limited

  • Company Industries:Banking

Job Information

  • Post Date:2019-04-10
  • Location:Central
  • Salary:Salary provided
  • Employment Type:Full Time, Permanent
  • Job Function:Investment  Risk Management  Asset Management  

Job Description

Job Description

  • Responsible for the overall compliance and regulatory framework
  • Ensure all investment guidelines are properly implemented/recorded
  • Monitor the development of regulatory changes to ensure the company policies and procedures are in line with updated regulatory requirements.
  • Work closely with operations team to ensure proper reporting to regulator

Job Requirements:

  • Hold a university degree or post-secondary diploma, preferably in finance / accounting / business / legal discipline
  • At least 5 years of compliance-related experience in the securities industry preferred
  • Mature, responsible, independent and self-initiated team player
  • Possess excellent communication and interpersonal skills
  • Proficiency in Mandarin and English

 

 

 

 

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