Senior Compliance Manager (Chinese leading-firm)
We are looking for a high-caliber candidate for our client, please check the JD below.
Responsibilities:
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Handle licensing matters with SFC, and reply related enquiries
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Interact with relevant regulatory parties such as SFC and HKEx
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Provide compliance advise to management and business units/back office
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Supervise complaint handling process to ensure complaints are followed-up SFC rules and consistent with internal requirements
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Draft, review and revise internal manuals, policies and procedures to ensure compliance with regulatory bodies
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Prepare and review compliance checking programmes and departmental operational procedures
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Support the Head of Compliance training to conduct compliance training; (regular)
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Perform ad hoc projects as required
Requirements:
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Degree holder in Accounting, Finance, Law, Risk or other related disciplines
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At least 5 years working experience related in Financial industry, highly prefer in Securities industry
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Familiar with SFC rules and regulations in respect to Type 1, 2, 4, 5, 6 and 9 regulated activities
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Proactive, hands-on, detail-oriented, able to handle multiple tasks, and adaptability to a small team environment and high standards for accuracy and quality; Independent, self-initiative and good interpersonal skills, and willing to work under pressure
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Excellent command of written and spoken English and Cantonese, fluent in Mandarin
Interested candidates, please kindly send your detailed resume including:
1) Current and expected salary
2) Availability
3) Reason for leaving current and past employments
directly to: justin.wan@jac-recruitment.com and jac.hk@jac-recruitment.com
Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you.