Compliance Manager / Senior Manager , Securities Firm

  • Location

    Hong Kong, Hong Kong

  • Sector:

    Banking & Financial Services

  • Job type:

    Permanent

  • Salary:

    discretionary bonus

  • Contact:

    Rosanne Wong

  • Contact email:

    rosannewong@taylorroot.com

  • Job ref:

    Compliance_1544497781

  • Published:

    about 1 month ago

  • Expiry date:

    2019-01-10

My Client is a Chinese securities brokerage with strong presence within Asia. They are currently looking for a Compliance Manager / Senior Manager to join their compliance team.

Responsibilities:

  • Perform regular compliance checking and review
  • Liaise with regulators and assist in formulating and maintaining compliance policies and procedures
  • Provide compliance advice and solution to business units and handle regulatory enquiries from regulators
  • Report directly to Head of Compliance and work closely with colleagues on any compliance related matters

Requirements:

  • Bachelor degree of Economics, Finance , Risk Management , Laws or related disciplines
  • Minimum 5-7 years of compliance experience in securities firms/ banks
  • Strong understanding of Hong Kong legal and regulatory requirements on securities brokerage
  • Good command in both English and Chinese (Cantonese and Mandarin)

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.