Compliance manager/ Senior Compliance Professional
Securities / Brokerage Firm
Hong Kong, Hong Kong

Compliance manager / Senior Compliance Professional Description Responsibilities : Being the Lead in Compliance, you will have full responsibilities in managing the firm's compliance, controls and regulatory matters Maintain an effective compliance and control system, review and improve compliance procedures and controls in place Develop policies and processes to comply with new and changing regulations and rules, provide compliance advice to the business and on products Handle all license matters for the company and staff, administrate statutory records, draft / review agreements / correspondences, respond to regulatory inquiries, perform regular compliance reviews and identify compliance risks Conduct compliance training to staff regularly and take on relevant projects related to compliance.

Requirements : A university degree and ideally with studies in law Minimum 4 -10 years relevant compliance or legal experience gained from Securities / Brokerage with Type 1, 4, 9 licenses.

Good knowledge of SFO and familiar with SFC regulations and requirements and SFC filing Understanding of the Global Equities Market Ability to work independently and be part of a team Excellent communication skills with fluency in English and Chinese Excellent knowledge and prior experience in dealing with the Hong Kong regulators as well as openness to deal with international regulators that operate on a pan-

Asia scope scale Experience with both institutional and retail clients Reporting directly to the Director, Legal & Compliance / APAC Legal Counsel.

Country Hong Kong Company Securities / Brokerage Firm Salary US$50,000 - US$80,000 Working Hours Full-Time Contract Permanent Categories Management / Regulatory Reporting, Equities / Fixed Income / Treasury, Real Estate / Mortgage, Trading, Compliance / AML, Legal Advisor / Counsel, Private Practice, Regulatory Affairs Industries null, null

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