Compliance Manager | Hong Kong, HK | In-Office

Accounting / Audit • Full Time • Hong Kong, Hong Kong, HK • HK$ 65,000 - HK$ 80,000 / month • 12h ago

As a part of the global risk, credit, and compliance team, he or she will be entrusted with the proactive detection, oversight, and escalation of compliance and operational risks through the execution of various activities outlined below. This position necessitates discernment and the ability to shape business strategies while ensuring appropriate safeguards are in place.

Our Client:

• A market leading financial institute with strong presence in HK and Asia.

Responsibilities:

• Establish and Maintain Compliance Framework: Create and implement a robust compliance policy and review program for our equities and futures operations, ensuring full compliance with applicable rules and regulations in Hong Kong.

• Deliver Compliance Support: Provide expert advice on compliance matters, conduct training sessions, and identify improvement opportunities to minimize compliance risks.

• Consult on Compliance Issues: Assist business units with compliance-related topics, including the assessment of new products and marketing materials.

• Participate in Product Innovation: Engage in the development of new products and lead specific projects as necessary.

• Conduct Surveillance Activities: Carry out trade monitoring and regular evaluations to identify potential compliance or internal control challenges.

• Engage with Regulatory Authorities: Work closely with regulators, auditors, and various business and functional teams on compliance issues.

• Manage Ad Hoc Initiatives: Undertake additional projects as needed to support compliance efforts.

Requirements:

• Educational Qualifications: Bachelor’s degree or higher in related fields.

• Relevant Experience: A minimum of 5 years of experience in the financial sector, specifically with SFC type 1, 2, 4, and 5 regulated activities; candidates with experience from PRC securities firms are highly preferred.

• Knowledge of Regulations: Comprehensive understanding of the Securities and Futures Ordinance and relevant statutory and regulatory requirements.

• Interpersonal Skills: Strong advisory and communication abilities, with a demonstrated capacity to work independently.

• Language Skills: Proficient in written and spoken English and Chinese, with fluency in Putonghua.

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