Compliance Manager – US based Brokerage recruitment
Hong Kong
• Growing Business
• Multicultural environment
Reporting to the VP, you will be responsible for the followings:
• Managing any SFC HKEx Licensing compliance matters
• Responding to all regulatory inquiries from the SFC
• Ensuring compliance to firm's policy by all employees relating to: training; staff dealing, gifts entertainment, AML, account opening order recording etc
• Conducing AML review control and trade monitoring for any review errors or failed settlements
• Monitoring and reviewing soft dollar issues
• Developing internal controls and policies to identify, control and mitigate operational risk
• Submitting SFC quarterly return and license requirement
• Assisting in the preparation of new client and broker account openings
• Overseeing the daily risk exposure report on "mark to market" outstanding trades vs client credit limit
The Successful Applicant
You will be a University Graduate holding a degree in law and/or economics preferred with at least 5 years experience gained within a a brokerage houses, investment banks or regulatory bodies. You will possess in-depth knowledge of SFO and have strong communication skills. In addition, you should be an independent thinker and able to work autonomously. Hands on experience in business advisory and dealing with senior management will be an advantage. Fluency in English and Mandarin, both written and spoken is essential.
Please email your CV to Christy Lam at c.lam@alsrecruit.com quoting the reference for a confidential discussion.
(EF/7664)