Assistant Manager / Manager, Compliance Department

Professional Services • Full Time • Wong Tai Sin District, Hong Kong, HK • 3w ago

Reporting to Associate Director of Compliance Department, you are responsible for:

Identify and assess compliance risks along with the Group’s development and daily operational activities;
Develop and implement internal policies, procedures and control manuals for the Group;
Perform regular compliance monitoring tests and/or program on the Company’s various activities and monitor closely with the regulatory requirements and ensure the policies and procedures in the Group adhere to the requirements;
Assist in handling compliance-related matters and issues arising from day-to-day business operations, including but not limited to liaising with the SFC or other regulators, handling licensing related matters and developing internal regulatory training;
Keep abreast of any new or revised regulatory rules and legal requirements in relation to different business units;
Communicate with internal business units, external auditors, legal firms and regulatory institutions in regard to compliance matters.

Requirements:

Degree holder in Finance/Accounting/Law/Risk Management or other related disciplines;
Minimum 5 years of relevant experience in finance and banking industry;
Strong knowledge in SFC rules and regulations in respect to Type 1, 2, 4, 5 and 9 regulated activities;
Possess solid trade surveillance skills and AML monitoring experiences;
Excellent communication and interpersonal skills;
Highly independent, self-motivated and flexible;
Experience in Company Secretarial is an advantage;
Good command of written and spoken in English and Cantonese, with proficiency in Putonghua is a plus;
Candidates with less experience will be considered as Assistant Manager.

Salary and fringe benefits for the post will be highly competitive, commensurate with qualifications and experience. Interested candidates please send your resume, last and expected salary to the Human Resources Dept. by clicking Apply Now.

Data collected will be used for recruitment purpose only. For more details, please visit us at www.ffg.com.hk.

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