Our client is a newly established PRC based Financial institution, currently holding SFC licenses 1, 4 & 6. To cope with the expansion, they are now in the process of the application of licnese 9.
This position reports to the CEO in Hong Kong and Management in PRC. Work independent to set up the department in the early stage
Assist and follow the SFC license 9 application of asset management
Design and conduct an effective compliance framework and monitor relevant legislation/policies with respect to local statutory/policies requirements
Review of new products and/or business initiatives and advise on any compliance issues based on applicable rules, regulations, policies and/or procedures
Set up, drafting and/or reviewing the Firm’s policies and procedures
Coordinating KYC, AML-related issues and projects
In-charge of overall internal review/controls of materials and external documents
Providing compliance training to ensure all standards are followed internally and appropriate procedures are in-place for internal work-flow
Ensure that marketing material and advertisement compliance with applicable legal & regulatory requirements
The licensing registration and deregistration for the staff
Degree holder in Finance, Accounting, Law, Business, Economics or other related areas
Minimum8 yearsexperience in the compliance of financial institution
Solid compliance experience especially in IPO and Asset Management
Knowledge of statutory and regulatory requirements and familiar in dealing with compliance issues
Hands on experience in dealing with regulatory bodies
Independent, mature, self-initiative and good interpersonal skills
Excellent spoken and written in English, Cantonese and Mandarin
Immediate available is preferred
Interested parties please send your CV to (please click here) of Levin Human Capital Consulting Group or you can call us at (852) 2520 0104 for more information. You can visit our Job Wonderland at for more career opportunities.
About Levin Human Resources Development Limited Levin Human Capital Consulting Group, a firm with the aim to provide high value added human resources consulting services to her clients, was established in 1987. Our firm serves multinational clients in major industries like banking and finance, logistics, media/ entertainment, telecom/ technology, etc. Currently, we are instructed by our client to look for high caliber candidates for the below position.
Job Description :
To ensure customer service and support all operations. To create customer delight at every interaction.
Interacting with external customers and internal customers and addressing their queries, requests and complaints.
Committed TATs are met consistently
Complaints Management- addressing customer complaints at the branch, system updation, coordination with Sales/HUB/ other functions for resolution.
Refunds processing and dispatch
Undelivered policy documents tracking and management.
Maintenance of all files and registers.
New Business Processing:-
Handling end to end New business processing starting from creation of Client id,Case start up, New business login, Follow up for policy issuance, Quality Check
Follow up with HUB for policy issuance of pending cases