Compliance Manager/Assistant Manager
The Job :
- Identify and evaluate compliance risks of the operations and business activities of the respective business unit, provide day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business unit in compliance with the law, rules and regulations
- Review business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirements
- Partner with other Compliance and Legal teams on assessing and measuring compliance and related risks, and developing common standards and practices.
- Conduct monitoring activities including desk reviews and thematic reviews wherever appropriate for compliance with regulatory requirements
- Draft, revise, update and maintain Compliance policies and manuals of the business units as necessary on ongoing basis
- Review, enhance and develop the compliance programs, procedures and guidelines for the respective business unit
- Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
- Deliver in-house compliance training to the business unit and advice to the management
Requirements:
- Degree holder of Laws, Finance or other related disciplines
- At least 3-5 years’ relevant compliance experience in Private Wealth Management, Structured Finance Private Equities
- Well-versed with the regulatory requirements, operating procedural matters on the origination and structuring of private equity transactions (in particular cross-border investment)/debt capital market transactions (i.e. loans and bonds)
- Hand-on skill in advising on and/or interpreting funding structures and loan documentation
- Knowledge on foreign exchange implications and regulations pertaining to private equity structured finance transactions
- Good command of written and spoken English and Chinese including Putonghua
We provide attractive remuneration package and fringe benefits for the right candidate.
Interested parties please send detailed resume with current and expected salaries to Human Resources Department i) by mail: 22/F, Li Po Chun Chambers, 189 Des Voeux Road Central, HK; ii) by fax: 2537 5431; or iii) by e-mail: hrd@htisec.com.
Please quote the reference in the application.
All applications will be treated in strict confidence and personal data collected will be used for recruitment purpose only.
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