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Senior Compliance Manager/ Compliance Manager, Business Compliance
Guotai Junan (Hong Kong) Limited
May 4, 2020
Assist Compliance Director to provide daily compliance advice to business;
Draft and revise internal policies and procedures;
Review agreements, marketing materials, fund prospectus, product documents, etc. from compliance perspective;
Identify gaps between internal policies / procedures and new regulatory requirements
Handle on-site and off-site inspection;
Evaluate existing and new business activities and products to identify compliance risks;
Collaborate with business to establish sound internal controls to mitigate compliance risks; and
Prepare training materials.
Bachelor's degree in law, finance, business management or other related disciplines;
6 years or above of experience in compliance / regulatory areas with at least 3 years in wealth management licensed corporations or private banks;
Familiar with the SFC and HKEx rules and regulations and industry practices;
Possess knowledge about securities brokerage business and listed structured products such as warrants preferred;
Proficiency in both written and spoken English and Chinese, fluency in Putonghua will be an advantage;
Good team spirit;
Analytical with attention to detail; and
Able to work independently.
We offer an attractive remuneration package to the right candidate. Interested parties please forward your full resume with availability, expected salary toi "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.)