Compliance Manager

Our client is an investment and finance company in Hong Kong now looking for high-caliber candidates to take up the following challenging roles.  

Responsibilities:

  • Responsible to review, update and enhance compliance framework on various business activities and initiatives
  • Update compliance policies and procedures with information on the latest regulatory requirements
  • Review KYC documentation upon account opening according to guidelines set by SFC and provide advice on KYC to related staff 
  • Perform account transactions monitoring and AML measures  
  • Liaise with SFC and follow up on their enquiries and investigation requests
  • Prepare monthly FRR reports to SFC  
  • Handle SFC licensing matters and prepare various reports as required

Requirements:

  • University Degree in Accounting, Finance, Law or related disciplines
  • Minimum 5 years of compliance experience in brokerage firms or financial institutions in Compliance Department  
  • Good knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control 
  • Good command of written and spoken English, Cantonese and Mandarin