Senior Compliance Manager, Brokerage recruitment
The Company
This Global Financial Services firm is experiencing significant growth across their business in Asia. Thus, a senior and experienced Compliance position has become available. Ideally you will have a demonstrated background within financial services compliance together with ability to work autonomously to get the job done! Providing a good working environment and career opportunities for high calibre staff this is a rare opportunity.
The Role
- Providing compliance advisory;
- Preparing and conducting in house training to new staff and on any changes to compliance rules and regulations;
- Reviewing and updating compliance manual, policies and procedures;
- Developing and implementing an effective compliance framework;
- Overseeing the account opening processes;
- Liaising with SFC for regulatory enquiries;
- Reviewing the drafting of legal documents from a compliance perspective; and
- 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.