Compliance Manager

Responsibilities:

• Handle a full spectrum of compliance duties in relation to Type 1 RA;
• Act as main point of contact with regulators, legal counsels and consultants and handle inquiries and information requests from regulatory bodies and auditors, e.g. SFC and HKEX;
• Draft and revise operational procedures, manuals and other relevant forms and documents;
• Conduct regular compliance checks and AML checking;
• Monitor policies’ implementation with regards to updated regulatory requirements;
• Handle client complaints and perform necessary investigation;
• Prepare compliance training to staffs;
• Engage in ad-hoc project in relation to new and innovative financial services;
• MIC for compliance function.

 Requirements:

• Degree holder in finance, law or related disciplines
• Minimum 3-year compliance experience with brokerage firm
• Excellent knowledge of rules and regulations relating to securities brokerage
• Self-motivated, a team player and results orientated
• Good command of English, Cantonese and Mandarin

Cloudbull Limited is a Hong Kong corporation under the Webull group (The “Group”) and is approved as a Licensed Corporation of Type 1 Regulated Activity by the SFC.

The Group intends to provide better investment platform with excellent data and securities trading service to both professional investors and retail clients.

For more information of the Group, please refer to

https://www.webull.com/about