Compliance Director/Associate Director, Investment Bank
Hong Kong, Hong Kong
Manage and identify Compliance matter related to SFC business.
Responsible for efficiency and effectiveness evaluation and improvement and ensure current activities are in compliance with internal guidelines and external regulations.
Revise general operation's policies and procedures of company's compliance program
Monitor and coordinate other departments to make sure compliance of business activities to keep the status of all compliance activities and to identify trends.
Work with relevant frontline or mid / back departments to direct compliance issues to appropriate existing channels for investigation and resolution.
Handle AML issues
Bachelor's degree holder majoring in Law, Finance or any other related disciplines with at least 7 years solid working experience in financial services company
Familiar with HKSFC Licensing regulations, codes, guidelines and reporting requirements.
Sound knowledge in investment products, funds and structures
Good interpersonal skills with good communications skills & team spirits
Multilingual / Multicultural working environment
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