My client is a reputable financial institution with SFC Licenses in Type 1,4,6 & 9 in Hong Kong with expansion plans. They now look for a VP / Senior Compliance Manager who is eligible to supervise the compliance function.
- Establish, implement and monitor compliance policies, procedures and standards of Hong Kong operations
- Provide consultation to local and any overseas offices on SFO regulatory and compliance issues
- Monitor day-to-day compliance responsibilities including SFC reporting, licensing, AML, KYC and general compliance duties
- Formulate, review and update the operational procedures to ensure full regulatory compliance for internal & external audits and regulatory inspections
- Keep abreast of the latest regulatory requirements for provision of advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management
- Supervise fulfilment of SFC license holders’ requirements of CPT training
- Handle compliance cases and complaints; to make necessary disclosures such as
- Lead regulatory projects and supervise team members to work with related departments
- Having 5-7 years of solid experience in sell-side securities firm or in buy-side asset managers in capacity of compliance manager roles
- Having sound knowledge of HKEx rules, AMLCTFO, SFO, SFC codes & guidelines, FATCA, CRS, MiFID regulations and guidelines of relevant regulatory authorities and risk management controls.
- Having sound knowledge of international regulatory compliance rules, such as FATCA, Dodd Frank, EMIR, MiFID...etc
- A holder of bachelor degree or above in Law, Finance, Accounting, Business or related discipline(s)
- Possessing strong leadership, analytical, communication and presentation skills
- A native or business professional level speaker of Cantonese, Mandarin or English