Compliance Manager
Frontier Financial Group
Hong Kong
1天前
source : eFinancialCareers Ltd.

Gepostet von : HR team SFC Type 1,4,6 & 9 Business Profil und Kontakt ansehen Review of all policies, agreement and procedures Degree or above in Accounting, Laws or related Min. 5 yrs of working experience

Responsibilities :

Develop and implement the compliance framework to ensure company policies and regulations are met

Oversee and review all business operations relating to compliance including policies, investments, and procedures

Communicate applicable risks, costs, progress, and results to all relevant partners and regulators

Design and monitor control systems to deal with violations of legal rules and internal policies

Regularly assess the efficiency of control systems and recommend effective improvements

Perform periodic audits on company procedures and processes

Conduct employee training sessions on compliance issues

Provide compliance advisory to the business

Advise on new product launch or revamp, relevant sale and marketing materials, training materials

Handle inquiries from regulatory bodies and compile periodical reports for management, steer for ad hoc compliance project or investigation when required

Requirements :

Degree or above qualification in Business, Finance, Legal or related discipline

At least 5 years of solid relevant experience

Exposure to compliance monitoring and testing work or experience working regulatory bodies, consultancies or advisory firms will be an advantage

Experience in policy and procedures development and implementation is required

Good understanding of Hong Kong AML / CFT

We offer excellent remuneration package and career development to the right candidate. Fringe benefits include medical insurance, free lunch and 5-days work.

All personal information received will be kept in strictly confidential and only for recruitment purpose only.)

Datum der Veröffentlichung : 03 Dez 21

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