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Compliance Manager/ Senior Manager, Chinese Securities Firm
Ruike Consultancy Asia Limited
September 16, 2020
Monitor trade surveillance function of the licensed corporations and carrying out the relevant compliance checking at the front, middle & back offices functions
Handling licensing matters with SFC, and assist in answering relevant enquirers (Also handling matters with HKEX)
Draft, review and revise internal manuals, policies and procedures from compliance perspective to ensure compliance with regulatory bodies
Drafting compliance checking plan, programme, checklists and reports
Conduct compliance review, checking and assessments
Perform ad hoc projects as required
Degree holder in Accounting, Finance, Law, Risk or other related disciplines
6 years of related working experience in financial industry holding SFC type 1, 2, 4, 5 regulated activities, highly prefer in sizable Chinese securities firm / SFC would be advantages
Familiar with Securities and Futures Ordinance and applicable statutory and regulatory requirements
Good command of written and spoken English and Chinese, fluency in Putonghua
Independent, self-initiative and good interpersonal skills and willing to work under pressure
Candidates with more experiences can be considered as Senior Compliance Manager/ Head of Compliance.
We also have compliance openings (manager grade) in asset management companies & insurance sector. If you are interested in the positions, please send us your updated profile to resume(at)ruikezixun.com or click on the application button here. All applications will be kept highly confidential.