Assistant Manager, Compliance

Job description:

o           Conduct regular compliance monitoring procedures and checking

o           Handle trade approval and review exception reports

o           Handle staff dealing matters, update staff dealing records and review staff dealing-related reports

o           Handle regulatory reporting, filing and client reporting for the group

o           Handle licensing application, filing and other related matters for the group

o           Review marketing materials and handle enquiries from business team

o           Coordinate with IT on system enhancement and user-acceptance testing for features related to compliance

o           Provide advice and guidelines, including briefing sessions, to staff on compliance issues relating to the regulated activities

o           Assist in researching and updating guidelines, rules and regulations and implement applicable policies and procedures

o           Assist in other tasks assigned and ad-hoc projects

Requirements:

o           Bachelor Degree with major in Accounting, Finance or related discipline

o           Minimum 2 to 3 years experience in handling compliance matters, experience with fund house is preferred

o           Familiar with SFC codes and guidelines, Securities and Futures Ordinance and other relevant regulatory requirements

o           Good analytical and communication skills and able to work independently

o           Extremely details oriented

o           Team player

o           Able to multiple-tasking

o           Less experience will be considered as Senior Officer, Compliance

Interested candidates please send your full resume with current and expected salary to hr@vp.com.hk.  Personal data will be used for recruitment purpose only.

For further information, please visit our website: www.valuepartnersgroup.com.hk