Compliance Manager (SFC 1,4 & 9) (HK$65K - $75K) (Ref. No.: 27165)
Our client, a Financial Institution, is looking for high-caliber person to fill the position.
Job Duties
- Provide practical compliance advice to business departments and management on regulated activities of Type 1, 4, and 9.
- Conduct relevant monitoring activities, such as staff personal trading surveillance, account opening reviews, and restriction and watchlist management.
- Assist in providing compliance training, monitor CPT, and prepare regulatory newsletter to share regulatory enforcement cases and introduce the latest laws, regulations, and guidelines.
- Conduct AML screenings, including customer due diligence, monitoring and investigating suspected money laundering and terrorist financing activities.
- Review marketing materials and ensure marketing activities in different jurisdictions comply with local laws.
- Handle adv hoc task as assigned.
Job Requirements
- Bachelor’s degree in Law, Finance, Business Administration, or related disciplines.
- At least 5 years of compliance experience in asset management firms with SFC Type 1 4,9 licenses.
- Proven ability to interpret and apply regulatory requirements and implement effective compliance controls.
- Excellent communication skills in English and Chinese (including Mandarin).
- Self-motivated, independent and able to work under pressure with team management experience.
- Immediately available is preferably.
- Job No.:
-
27165
- Date:
-
27/05/2025
- Job Category:
-
Banking
- Salary:
-
$Neg.
- Qualification:
-
Degree
- Apply Email:
-
hongkong@globexec.com
CancelApply Now
