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Director / Manager - Compliance (newly established PRC based boutique iBank)

8 - 11 years
Posted: 2019-02-12

Sales/Business Development
Software Engineer/Programmer
Posted On
12th Feb 2019
Job Ref code
Job Description
Job Description :

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.
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About Company

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.