Compliance Manager (RA 1, 2,4 & 9)

Compliance Manager (RA 1, 2,4 & 9)

Levin Human Capital Consulting
Hong Kong
5-8 years
Not Specified

Job Description

Job Description :
  • Assist the Compliance Head to handle full spectrum of Compliance matters.Work with 1 subordinate.
  • Handle SFC’s cases and enquiries, including the licensing , complaints and investigations.
  • Supervise and review on the compliance testing performed by subordinates, and prepare monthly report to the management.
  • Update the compliance manual and complaint policy, to ensure the compliance of Securities and Futures Ordinance, Code of Conduct and AML guideline.
  • Ensure all activities and operations are complied to latest regulatory and internal requirements
  • Conduct compliance reviews, risk assessments and control testing
  • Assist in conducting UAT on system and other ad hoc projects

  • Degree or above in related disciplines preferrable
  • Minimum 5 year experience related experience in Securities firm / Financial Institutions/ Regulators
  • Well versed with compliance and other regulatory requirements
  • Detailed-minded with good organization, interpersonal and communication skills
  • Proficient in MS office applications
  • Good command of written and spoken English and Chinese (preferably fluent in Mandarin)

*** Pls send CV to [Confidential Information] or contact us at 2520 0064 for more informaiton.

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