Compliance Manager

Responsibilities:

• Provide practical compliance advice to front and middle back office

• Review and revise compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes

• Provide guidance to junior member on licensing applications and provide advice on licensing issues

• Assist the department head to advise business stakeholders on AML/CFT related inquiries and matters

• Assist the department head to conduct internal investigation and draft conclusion report

• Collaborate closely with internal stakeholders for implementation of compliance related projects

• Handle regulatory requests, inquiries and examinations in a proper and timely manner

• Perform ad-hoc assignments as assigned

Requirements:

• Bachelors Degree or above

• 6 years or above of relevant working experience in handling complicated compliance issues

• Sound knowledge in rules and regulations administered by the SFC, market practices, financial products as well as securities business

• Self-motivated, able to work independently

• Good interpersonal and communication skills

• Solid work experience in general compliance, preferably in Chinese securities firm

• Proficiency in both written and spoken English and Chinese (including Mandarin)

• Candidate with more experience will be considered as Senior Manager

We offer attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present & expected salary and date of availability to Human Resources Department. To apply for this position, please simply click the “APPLY NOW” .

All applications will be treated in the strict confidence and personal data collected will be used for recruitment purpose only. 

Information :

• Company : Ping An of China Securities
• Position : Compliance Manager
• Location : Central and Western Distr., Hong Kong Island
• Country : HK