Senior Compliance Officer, Financial Institution recruitment
The Company
This market leading global financial institution requires a senior compliance officer to join their rapidly growing Compliance Team. The role requires the oversight of the compliance processes and provides advice and guidance to the business in order to satisfy all external regulatory obligations.
The Role
• Review and evaluate business processes to ensure that operations are in compliance with regulatory policies and procedures;
• Provide compliance advice;
• Review marketing material and correspondence;
• Liaise with regulators in handling enquiries and complaints;
• Prepare and deliver compliance trainings to staff; and
• Assist 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 4 years' compliance working experience in an asset management firm, securities house, or Financial Services industry, with solid experience in handling enquiries from various regulators, such as SFC/HKMA and HKEX rules and regulations. You will have strong interpersonal and communication skills. Fluency in English and Cantonese a must, ability to speak other languages is a plus. Candidate with less experience will be considered as Assistant Compliance Manager or Compliance Officer.
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted