Candidate with more experience will be considered as Senior Compliance Manager.

Responsibilities:

• Develop and implement compliance policy and review program covering our equities and futures businesses with particular emphasis on the compliance with the relevant rules and regulations in Hong Kong;
• Provide compliance guidance, conduct training and make recommendations for improvement areas to minimize compliance risk;
• Advise business units on relevant compliance related matters such as reviewing new products and marketing materials;
• Participate in new product development and undertake projects when necessary;
• Perform trade surveillance and other regular reviews to identify potential compliance or internal control issues;
• Liaise with regulators, auditors, business and functional units on compliance issues;
• Such other duties as shall be directed by your superiors from time to time.

Requirements:

• Degree holder in Accounting, Finance, Law, Risk or other related disciplines;    
• Minimum 5 years of related working experience in financial industry holding SFC type 1, 2, 4, 5 regulated activities, highly prefer in sizable Chinese securities firm / SFC would be advantages;
• Familiar with Securities and Futures Ordinance and applicable statutory and regulatory requirements;
• Good advisory and communication skills and ability to work under minimum supervision;
• Good command of both written and spoken English and Chinese, ability to communicate in Mandarin preferred.

Attractive remuneration will be offered to the right candidate.  Interested parties please email your full resume with present & expected salary and date of availability via "Apply Now".

Personal data collected would be used for recruitment purpose only.

Guosen Securities (Hong Kong) Financial Holdings Co., Ltd, registered in Hong Kong, is a wholly-owned subsidiary of Guosen Securities Co., Ltd., one of the top ranked financial institution for securities trading and stock listing offers in China. To cope with the Company's rapid expansion, we invite high caliber personnel to fill the following position: