Regulatory Compliance Manager

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • ConnectedGroup Limited
  • 14 Aug 17

Our client is a large financial services group with international presence. They are now looking for a Regulatory Compliance Manager to join their expanding team.

Our client is a large financial services group with international presence. They are now looking for a Regulatory Compliance Manager to join their expanding team.





Responsibilities:

  • Provide compliance advice
  • Review and update company policy and procedure to ensure the business is in compliance with all regulatory requirements
  • Develop and implement compliance monitoring review program covering all key regulatory risks and be able to make constructive suggestions to improve the internal control framework of the brokerage and research operations
  • Handle licensing requirements and inquiries from SFC and related regulators
  • Provide compliance training to business units and other relevant stakeholders



Requirements:

  • University graduated in Accounting, Finance, Business Administration or Law
  • Minimum 6 years of experience gained within the compliance function, SFC licensed corporation preferred; or a local or overseas banking or relevant financial supervisory body; or a professional legal or audit / accountancy firm with banking or financial services compliance / regulatory advisory experience
  • Take a proactive/value add approach to provide compliance advise for new business products
  • Strong compliance knowledge and familiar with all SFC rules and regulations
  • Preferably experience of dealing in multiple countries
  • Excellent communication and interpersonal skills
  • Fluency in written and spoken English and Chinese