Job description
Securities Compliance Senior Manager/Manager (Wealth Management - SFC Type 1, 4, 9)
Job Responsibilities:
• Oversee and implement compliance policies and procedures in accordance with SFC and HKMA regulatory requirements
• To monitor the latest regulatory development as well as the Group standard, provide update and also suggest the solution for the latest development
• Provide advisory services to business units in the interpretation and implementation of compliance requirement
• Review the in-house compliance policies and work procedures with reference to the statutory requirements of different regulatory authorities
• Understanding of SFC Type 1, 4 and 9 Discretionary Portfolio Management (DPM) practices and related compliance standards
• Finish assigned work tasks, enhance the communication among superiors and subordinates and timely reports work progress to superiors
• Liaise with regulators, auditors, and internal stakeholders on compliance matters
Job Requirement
Qualifications:
• Bachelor's degree in Law, Finance, or a related discipline; legal or compliance certifications preferred
• Minimum 5-8 years of compliance experience in the financial services, with a particular emphasis on banking experience and SFC type 1, 4 and 9 regulated activities as an advantage
• Strong knowledge of SFC and HKMA regulations, licensing, and distribution requirements
• Good knowledge of local stock market and asset management
• Good knowledge of the general banking operations and its legal and regulatory context
• Self-initiated, analytical-minded and able to handle multi-tasks under tight schedule
• Language Proficiency: Fluent in both written and spoken English and Cantonese required
23551836