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Compliance Asst/Manager_ Private Equity/Bank

Keywords / Skills : Compliance Asst/Manager_ Private Equity/Bank

5 - 8 years
Posted: 2019-04-15

Industry
Recruitment/Staffing/RPO
Function
Banking, Insurance & Financial Services
Role
Customer Service Executive
Posted On
15th Apr 2019
Job Ref code
JHK100003006953394
Job Description
Job Description :

Compliance Manager Job
  • Assist the Compliance Head to monitor and administer the compliance function for HK Office (PE & Securities - SFC 1, 4 & 9)
  • Ensure necessary documentation and internal operations are properly in place and adhere to relevant ordinances, regulations, guidelines and codes of Company practices
  • Oversee Anit-Bribery due dilgence on investment proejcts
  • Prepare and deliver compliance trainings to staff
  • Review legal documents

Requirements
  • University graduate Law or related disciplines
  • 5 years + in financial control and/or compliance in PE/Securities/investment banking business, pref firm with SFC licenses 1, 4 & 9
  • Well conversant with relevant Ordinance, regulations and requirements
  • Strong analytical skill
  • Fluent Mandarin, English & Cantonese

If you are interested in it, please send me your resume in MS WORD format with notice period, current and expected salary to .