Compliance Manager

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: Bachelors 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.