Compliance Manager
Mirae Asset Securities (HK) Limited
- Company Industries：Financial Services
Job Information
- Post Date：2022-10-19
- Career Level：Middle
- Location：Yau Tsim Mong Area
- Yr(s) of Exp：8 years
- Qualification：Degree
- Employment Type：Full Time, Permanent
- Job Function：Banking / Finance Financial Services Equities / Capital Markets Professional Services &nbs
- Benefits：Dental insurance, Medical insurance, Performance bonus, Five-day work week
Job Description
Founded in 1997, Mirae Asset Financial Group is one of the largest global financial groups comprising of Asset Management, Investment Banking & Wealth Management, Insurance, Venture Capital and other businesses. Withequity capital of US$14 billion, the group has presence in over 10 countries globally and have US$628 billion assets under management. It is well known as investor in the New Economy, New Consumer, Healthcare, Technology and Real Estate.
As a subsidiary of the Mirae Asset Financial Group, Mirae Asset Securities (HK) is looking for an ambitious individual for the Compliance Manager position based in HK.
As a subsidiary of the Mirae Asset Financial Group, Mirae Asset Securities (HK) is looking for an ambitious individual for the Compliance Manager position based in HK.
Job Description
- Handle and advise on the SFC regulated activities (Types 1, 2, 4, 6 9)
- Responsible for internal control and investigations from compliance perspective
- Handle regulator’s enquiries, including SFC, HKEx, and other overseas regulators
- Provide regulatory advice on rules and internal policies including AML and other relevant updates; review business activities and new initiatives to ensure compliance with regulatory requirements
- Keep abreast of regulatory updates and ensure timely implementation of relevant policies and procedural manuals
- Advise business line management and assist in providing solutions to potential problems or issues involving compliance or regulatory risk
- Coordinate and handle external audit or regulatory review
- Perform internal control room function
- Perform follow-up to verify the implementation of recommendations from regulators, external and internal auditors, assist to resolve compliance-related findings.
- Review business contracts, research reports, marketing materials, etc.
Requirements:
- Degree holder in Business Administration, Law or related disciplines
- Minimum 8 years of compliance experience in brokerage business
- Sound knowledge of local regulations such as SFO, Money Lender Ordinance, Personal Data (Privacy) Ordinance, etc.
- Strong HKEx regulatory experience is an advantage
- Familiar with financial institution’s operations
- Responsible, attention to details, well-organized with good communication skills
Why you should consider this opportunity:
We offer competitive remuneration package with fringe benefits to right candidates, including but not limited to
We offer competitive remuneration package with fringe benefits to right candidates, including but not limited to
- 5 day work week
- Performance Bonus
- Medical & Dental Insurance
Working Hour:
- Monday - Friday, 8:30am - 5:30pm
Interested parties please send resume with date of available and expected salary by clicking "Apply Now".
All information received will be kept in strict confidence and will be treated only for employment related purposes.
All information received will be kept in strict confidence and will be treated only for employment related purposes.
Company Info
Mirae Asset Securities (HK) Limited is a licensed corporation approved by the Securities and Futures Commission in Hong Kong. We are also a subsidiary of Mirae Asset Financial Group in South Korea serving a diverse client base in Asia Pacific Region. To
cope with our business expansion, we are looking for talents to join our team.
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