Compliance Manager, Brokerage Firm, $65-75k/mth recruitment
The Company
Our client is a growing brokerage firm with securities ranging from retail to institutional clients. They are now seeking a Compliance Manager to join their team in Hong Kong.
The Role
Reporting to the Head of Compliance, you will be responsible for the following duties with a management of a team of 2:
• Conduct and assess the investment compliance of asset management and securities products
• Provide quality reporting on compliance matters to the Senior Management
• Prepare and review marketing materials;
• Liaise with regulators on the latest compliance/regulation requirement
• Promote a culture of compliance and compliance awareness to function or Business Unit employees to reduce Compliance Risk;
Your Profile
To be successful in this role you will have a minimum of 5 years of compliance experience in asset management, brokerage and regulatory; hold a degree in Finance or Economics; and excellent written and verbal English and Chinese communication skills.
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted.