University graduate in Law or related disciplines;
At least 7 years of compliance experience in financial industry;
Extensive knowledge of financial service regulatory and licensing requirements;
Experience in dealing with regulators;
Good Command of Chinese and English (including Putonghua);
A strong team player with excellent inter-personal and communication skills;
Less experience will be considered as Assistant Compliance Manager.
Perform compliance checking and review on investment products;
Provide advisory services to business units on compliance and legal related matters;
Liaise with SFC and other regulators;
Being responsible for company's and representative's license application, maintenance and reporting to SFC, CPT monitoring and the maintenance of proper licensing with all relevant regulators;
Handle and monitor staff personal investment;
Handle and monitor trade activities to identify any non-compliance transactions;
Organize and maintain records for company’s contracts;
Assist to update procedure manuals and ensure the processes are in compliance with regulatory guidelines and internal policies;
Drafting and managing the roll out of Compliance policies, procedures and guidelines and any associated training requirements.