Compliance Manager, Securities & Brokerage recruitment
The Company
A motivated and experienced Compliance Manager is needed for a growing securities firm. To be successful in this role you will have experience in the Securities company and have proven compliance skills and knowledge.
The Role
- Identifying any potential compliance risks and suggesting precautionary measures;
- Developing and enhancing compliance control policies and procedures, and monitoring their effective implementation;
- Assisting in new product development and ensuring that it complies with regulatory and internal compliance policies;
- Assisting in liaising with regulators and handling enquiries;
- Handling complaints and performing licensing related work;
- Monitoring new account opening procedure;
- Preparing and conducting compliance-related training;
- Assisting in ad-hoc projects as required
Your Profile
The successful candidate will be a degree holder in Law, Accounting, Finance or related discipline, with professional qualification is highly preferable. You must have minimum 5 years' post compliance working experience in legal and/or compliance in financial services industry. You will have strong interpersonal and communication skills. Fluency in English and Cantonese a must, ability to speak other languages is a plus.
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted.