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Manager, General Compliance

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, General Compliance to join their team.

Responsibilities

  • Lead a small in providing practical and accurate compliance advice to business such as Retail and Institutional Brokerage, Wealth Management, Research and Global Markets business
  • 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 or banks
  • 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)