Compliance Manager
Besteam Personnel Consultancy Limited
Kowloon
2天前
  • 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.

    Responsibilities :

  • 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.

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