Senior Compliance Manager recruitment
Provide support to the business on regulatory compliance matters, raising issues to Senior Management and implementing corrective action plans, in particular to brokerage and investment banking businesses;
Participate in new product development and ensure that new products conform to regulatory and internal compliance policies;
Monitor new account opening procedure KYC review;
Perform Control Room function in relation to investment banking and research businesses;
Review policies and procedures prepared by other departments and provide input to ensure compliance with applicable legal and regulatory requirements;
Advise management and business units on all compliance-related issues arising from business operations;
Perform ad-hoc compliance projects.
Requirements:
Ideal candidates shall be graduated from a reputable university with degree in Finance, Accounting, Law or other related areas.
With over 5 years of working experience in compliance functionality in major financial institutions or regulatory authorities.
Excellent communication skills and working on own initiative.
Good command of Mandarin will be a plus but not a must.
*Lesser experienced candidates may be considered for a Compliance Officer position within the Firm*
Qualified interested candidates, please submit your updated CV via this online application or call +852 2232 3431 for a confidential discussion today. Please note that only shortlisted applicants will be contacted