Compliance Manager / Senior Compliance Manager
Location: Hong Kong
Responsibilities:
- To assist in formulating compliance-related rules, operational procedures, and business processes, and to participate in establishing the compliance management framework
- To conduct compliance reviews of internal management policies, major decisions, new products and new businesses, and legal documents signed with external parties
- To participate in the organization and implementation of controls in relation to general compliance, Chinese Wall, anti-money laundering, etc.
- To participate in the identification, assessment, and control of compliance risks, and oversee the compliance of business activities and employee conducts
- To participate in organizing compliance training programmes to enhance staff compliance awareness, provide compliance advice
- To participate in responding to compliance-related inquiries from regulators
- To complete other tasks assigned by the senior management and department head
Requirements:
- Bachelor's degree in Business, Finance, Law, or a related field
- Minimum 3 - 4 years of experience in regulatory compliance within the financial services industry, regulators or compliance consulting firm
- Sound knowledge of relevant laws, regulations and industry practice
- Strong analytical skills with the ability to identify compliance risks and recommend appropriate controls
- Excellent written and verbal communication skills in Chinese and English, with the ability to effectively illustrate complex regulatory concepts
- Detail-oriented mindset with a focus on accuracy and precision
- Ability to work independently, prioritize tasks, and meet deadlines
- Proficient in using office software such as Microsoft Office in Chinese & English
**** Please note spoken and written Mandarin Chinese is a prerequisite for this position****
For a confidential discussion, please send an email with your updated resume or LinkedIn URL, with contact details in the first instance to:
cv(at)harbridgepartners(dot)com
Contact the retained consultants, Edward Chen or Richard Liu on +852 2523 9955
Harbridge Partners Limited
Employment Agency License: 75427