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Compliance Manager, Securities Business Department

Hong Kong, Hong Kong
Last update 2024-06-16
Expires 2024-07-16
ID #2184919452
Free
Compliance Manager, Securities Business Department
Hong Kong, Hong Kong,
Modified June 7, 2024

Description

Responsibilities Familiar with Banking Ordinance, SFO and relevant rules, codes and guidelines issued by HKMA and SFC Sound knowledge of relevant laws and regulations pertinent to bank Collaborate with business/ operations teams to establish sound internal controls to mitigate the associated risks Work with group compliance to keep abreast of and adhere to the updated group policies and requirements Work with internal parties to facilitate regulatory examinations, Reply to questionnaires, surveys, investigations and other regulatory enquiries Prepare training to and promote compliance awareness among colleagues Handle ad-hoc projects as assigned Requirements University graduate with major in Business, Accounting, Finance, Law or related disciplines Minimum 3 years experience in Compliance, Internal Control, Risk Management, or internal Audit in Financial Industry Holder of HKSI Paper: 1, 7 and 8 is preferable Familiar with Banking Ordinance, SFO and relevant rules, codes and guidelines issued by HKMA and SFC Well-verse in Regulatory requirements such as HKMA and SFC Ability to work independently and work under pressure efficiently Analytical with attention to details Good command of verbal and written Chinese and English (including Putonghua) Interested candidates, please click APPLY NOW to apply.

Job details:

Job type: Full time
Contract type: Permanent
Salary type: Monthly
Occupation: Compliance manager, securities business department

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