Compliance Manager
Zhongtai Financial International Limited
- Company Industries：Financial Services
Job Information
- Post Date：2022-07-05
- Career Level：Entry Level
- Location：Central
- Yr(s) of Exp：4 years
- Qualification：Degree
- Employment Type：Full Time
- Job Function：Professional Services Company Secretary Legal & Compliance Banking / Finance Asset M
Job Description
- Handle licensing applications, SFC filings and inquiries from regulatory bodies;
- Perform regular compliance checking to ensure compliance with regulatory requirements;
- Handle KYC and AML-related matters;
- Advise business functions on compliance issues;
- Research reports review and clearance;
- FATCA / CRS reporting in accordance with relevant requirements
- Handle CPT related matters, such as update of CPT register;
- Undertake other ad-hoc duties as assigned.
Requirements:
- University degree in business, law, finance or related disciplines;
- At least 4 years of compliance experience in licensed corporations with exposure dealing with regulators;
- Well versed with SFC regulations and standards, as well as other regulatory requirements;
- Hardworking, responsible, self-motivated, ability to work under pressure;
- Familiar with FATCA and CRS reporting is preferred;
- Proficient in written and spoken English and Chinese (Putonghua);
Company Info
Zhongtai Financial International Limited (“Zhongtai International”), a wholly-owned Hong Kong subsidiary of Zhongtai Securities Co., Ltd (“Zhongtai Securities”), was set up pursuant to China Securities Regulatory Commission’s approval. To facilitate Zhongtai Securities’ rapid growth in cross-border businesses covering major capital markets, Zhongtai International has strived to set up overseas branches across the globe and has now established its presence in Mainland China, Hong Kong, Singapore, Japan and Korea.
Zhongtai International’s parent company, Zhongtai Securities, is a listed company (Stock Code: 600918.SH) incorporated in China under the supervision of Shandong Provincial State-owned Assets Supervision and Administration Commission. With over 7,400 employees and more than 350 securities sales offices covering 28 provinces across China, Zhongtai Securities provides a full spectrum of financial services to both corporate and individual clients and has been recognized for its professional, one-stop services.
Relying on Zhongtai Securities’ resources and advantages in Mainland China, Zhongtai International adopts a financial holding company model with international management concepts, financial innovation and quality services. Zhongtai International, through its subsidiaries, provides global investors and corporations with comprehensive overseas investment solutions and integrated financial services spanning across corporate finance, wealth management, asset management, fixed income, currency & commodities, brokerage, and institutional business. Zhongtai International is devoted to connect global investors with the capital markets in Mainland China, establish linkage between markets in Mainland China and Hong Kong, and make due contributions to the development and internationalization of China’s financial industry.
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