Regulatory Compliance, Senior Manager/Team Head-Securities Firm
Randstad Hong Kong Limited
- Company Industries：Human Resources Management/Consultancy
Job Information
- Post Date：2019-05-21
- Career Level：Senior
- Location：Others
- Qualification：Degree
- Salary：HK$70,000 - 120,000 /month (negotiable)
- Employment Type：Full Time, Permanent
- Job Function：Legal & Compliance
- Benefits：http://www.randstad.com.hk
Job Description
Senior Regulatory Compliance Manager, SFC Full Licensed Corp - VP
about the company.
Our client is a full licensed financial institution with strong presence in the region.
about the job.
- Identify and evaluate compliance risks of the operations and business activities
- Provide day to day regulatory advice and guidance on rules and internal policies and ensure the business unit in compliance with the law, rules and regulations
- Review business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirements
- Partner with other Compliance and Legal teams on assessing and measuring compliance and related risks
- Draft, revise, update and maintain Compliance policies and manuals of the business units
- Review, enhance and develop the compliance programs, procedures and guidelines
- Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
- Deliver in-house compliance training to the business unit and advice to the management
skills & experiences required.
- Degree holder of Laws, Finance or other related disciplines
- 5 years' relevant compliance experience in securities brokerage or asset management field
- Candidates with compliance exposure in SFC full licensed corp is an advantage
- Good command of written and spoken English and Chinese including Putonghua
To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Nicole Hui on + 852 2232 3421 or email: [email protected]
Company Info
Randstad is a global leader in the HR services industry, with Asia-Pacific operations in Singapore, Malaysia, Hong Kong, China, Australia and New Zealand. Our Hong Kong operations has been supporting people and organisations in realising their true potential, helping find the best permanent and contracting talent in accounting & finance, banking & financial services, business support, construction & property, engineering, human resources, technologies, sales, marketing & communications and supply chain & procurement.
Human connection is at the heart of our business. Our personal approach, supported by state-of-the-art technology, is what sets us apart in the world of work. We express this with a new brand promise: Human Forward.
Human connection is at the heart of our business. Our personal approach, supported by state-of-the-art technology, is what sets us apart in the world of work. We express this with a new brand promise: Human Forward.
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