Compliance Manager
Responsibilities
- Maintain an effective compliance and control system within the company
- Provide legal and compliance advice on existing and new products/businesses
- Ensure all trading entities comply with relevant regulations and requirements
- Identify any key compliance risks
- Develop policies, procedures and process to allow the business to comply with applicable laws, rules and regulations
- Handle all license matters for the company and staff
- Plan and undertake regular compliance review on business and regulated activities
- Review and /or prepare responses to regulatory inquires and investigations
- Provide advice and update to on regulatory, exchange and trading rules and regulations
- Conduct regular compliance training for internal staff
- Perform any ad-hoc tasks or project related to compliance matters
- Being responsible for all AML matters (e.g. revamp the AML policy and observe the latest statutory development) and provide professional advice on account opening issues.
- University educated
- 8+ years working experience, with at least 5 years working experience in compliance management in relevant sectors
- Solid understanding of SFO, and other relevant rules and regulations pertinent to the securities trading business
- Excellent command of English; Cantonese is an advantage, but not a must
If you are interested please send your full resume in MS Word format, along with salary history and expectation to Daniel Luk (dan.luk@globalassociates.com) and a cc: copy to cv@globalassociates.com
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