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Establish, implement and monitor compliance policies, procedures and standards of Hong Kong operations
Provide consultation to local and any overseas offices on SFO regulatory and compliance issues
Monitor day-to-day compliance responsibilities including SFC reporting, licensing, AML, KYC and general compliance duties
Formulate, review and update the operational procedures to ensure full regulatory compliance for internal & external audits and regulatory inspections
Keep abreast of the latest regulatory requirements for provision of advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management
Supervise fulfilment of SFC license holders' requirements of CPT training
Handle compliance cases and complaints; to make necessary disclosures such as
Lead regulatory projects and supervise team members to work with related departments
Having 4-5 years of solid experience in sell-side securities firm or in buy-side asset managers in capacity of compliance manager roles
Having sound knowledge of international regulatory compliance rules
A holder of bachelor degree or above in Law, Finance, Accounting, Business or related discipline(s)
Possessing strong leadership, analytical, communication and presentation skills
Fluent Mandarin is a must
Good work life balance
Internal Number: 5641273
About Mario Recruitment Limited
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