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
Company Info
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