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Compliance Manager - Sizeable brokerage firm

Job description

Our client is a renowned securities and brokerage firm with a strong presence and leading position in APAC. With their team expanding, they are looking for a Manager, Compliance to join their team.

Responsibilities

  • Provide advice to business units on regulatory interpretation and compliance issues in the coverage area
  • Formulate and update internal policies and procedures to ensure relevant laws and regulations and compliance standards are complied with
  • Handle day-to-day compliance tasks and make sure the company is complying with the SFC regulations and rules
  • Provide compliance advisory to the business unit
  • Monitor the trading patterns of the targeted SFC license representatives

Requirements:

  • Degree holder in Law, Accounting, Finance, Business Administration, or related discipline
  • At least 4 years' experience in securities brokerage - SFC type 1, 2, 4, 5 regulated activities
  • Solid knowledge in rules and regulations administered by the SFC, compliance best practices, financial products as well as securities business.
  • Proficiency in both written and spoken English and Chinese (including Mandarin)

If this job isn't quite right for you, but you know someone who would be great at this role, why not take advantage of our referral scheme? We offer HKD1000 in Apple gift cards for every referred candidate who we place in a role. Terms & Conditions Apply. https://www.ambition.com.hk/refer-a-friend