Compliance Manager, MIC reqried
Our client is an established financial group with type 1,4,9 businesses. They are looking for a candidate to lift the MIC and also joining them in the compliance team.
The role will include day to day compliance work including monitoring and maintaining the compliance manual. The role with work closely with the RO to ensure the operation in comply with compliance regulations. The role will also liaise with internal and external auditors and handling licensing issue. As Responsible Officer to conduct and supervise SFC Type 9 regulated activities
- Degree holder in in relevant disciplines with a minimum of 3 years of relevant current working experience in asset management/finance
- Experience in liaising with SFC and familiar with FATCA, CRS, AML and KYC regulations by regulator
- At least 5 years' experience in handling Type 1, 4 and 9 regulated activities in securities firm and/or bank
- Proficient in written and spoken English, Mandarin, and Cantonese
Contact Janae Chan (852) 3103 4366 or email@example.com
Data provided is for recruitment purposes only.