Compliance Manager/SM - Securities Firm (Type 1,2,4,6,9)

Location: Hong Kong Island, Hong Kong
Contract Type: Permanent
Specialisation: Banking & Financial Services
Salary: Negotiable
REF: BBBH235143_1565064428

Our client is a full licenses Securities firm in Hong Kong. They are currently expanding the Compliance team and looking for an experienced Compliance Manager OR Senior Manager to join the team.


Responsibilities:

  • Develop and establish compliance policies and procedures
  • Review, update, and enhance the compliance frameworks
  • Manage and handle inquiries and investigation from SFC regulators
  • Supervise licensing matters
  • Conduct internal trainings on all compliance related issues

Requirements:

  • Undergraduate degree
  • Minimum 8 years of relevant experience in Financial Institutions
  • Able to work independently

Interested parties, please contact Winnie Shi @ (852) 3103 4321 / winnie.shi@ambition.com.hk for further detail information or simply click Apply button

Data provided is for recruitment purposes only