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Job Opportunities - Compliance Manager |
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Title: Compliance Manager
Duties and Responsibilities
- Responsible for formulating, communicating and monitoring company's risk management policies & procedures,
- Ensuring regulatory compliance with Securities and Futures Ordinance and other relevant rules and regulations,
- Perform compliance monitoring activities and handle KYC/AML issues,
- Prepare internal and external compliance reports to senior management, head office and regulatory bodies,
- Review and draft of the company's compliance policies,
- Review fund’s advertisement materials and disclosure, make sure the content complied with the provision of HKSFC,
- Draft the application materials submitted to regulatory bodies for the business development,
- Review the contracts terms and conditions and make the recommendations on the favorable contract terms signed by the company and the third parties,
- Provide consultation and guidance on compliance issues, and deal with all regulatory bodies regarding compliance& legal issues,
- Assist the portfolio managers in reviewing pre-trade & post-trade alerts,
- Arrange and provide compliance training to the necessary staff,
- Responsible for the compliance and risks related projects,
- QFII working experience is preferable.
Qualifications
- University degree in Accounting, Finance or Law,
- At least 7 years relevant experience gained in Asset Management firm, Securities Brokearge, Banking,
- Hands on experience in undertaking compliance reviews,
- Sound working knowledge of SFC rules and regulations,
- Strong communication skills in English, Mandarin and Cantonese,
- Candidate with less experience will be considered as Assistant Compliance Manager or Senior Officer
Interested parties, please send full resume, expected salary and contact telephone number by email to
This e-mail address is being protected from spambots. You need JavaScript enabled to view it
or fax 3011-9424
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Compliance Manager