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Senior Compliance Manager/ Compliance Manager, Central Compliance
Guotai Junan (Hong Kong) Limited
May 4, 2020
Handle and review enquires from regulators on trade-related enquiries, demand for information and investigation related requests;
Handle statutory reporting required under the Securities and Futures Ordinance including Disclosure of Interests, Short Position Reporting and Large Open Position Reporting
Handle license application and maintenance;
Provide compliance advice and support to different business departments;
Update and maintain compliance policies and procedures manuals;
Deliver in-house Compliance training to business units; and
Handle ad hoc projects on new regulatory changes/development.
University degree holder in Finance or related discipline;
Minimum 5 years' compliance exposure in dealing with enquiries from regulators on enforcement, intermediaries supervision and licensing issues is an advantage;
Sound knowledge in financial products
Sound Knowledge in FATCA and CRS
Good knowledge in Microsoft Office; and
Proficiency in both written and spoken English and Chinese, fluency in Putonghua is a must.
*Candidates with less experience will be considered as Compliance Manager
We offer an attractive remuneration package to the right candidate. Interested parties please forward your full resume with availability, expected salary to "firstname.lastname@example.org" or send it to 27/F., Low Block, Grand Millennium Plaza, 181 Queen's Road, Central, Hong Kong.
(Data collected will be kept strictly confidential and used for recruitment purpose only.)