Compliance Manager / Senior Manager
- Responsible for liaison, correspondence, enquiries and reporting with regulators (SFC)
- Responsible for compliance with products and marketing related materials, disclosure and risk management
- Participate in the development & implementation of compliance controls
- Compile and update the company's compliance manual and important compliance policies
- Design appropriate policies, monitoring controls and implement necessary actions of compliance program.
- Monitoring the daily business / trading activities to ensure compliance with internal policies / procedures and external regulations.
- Provide compliance advisory in supporting strategic initiatives of the company.
- Bachelor's degree, preferably majoring in finance
- Minimum 5 years of related experience and at least 3 years in compliance
- Sound knowledge on regulatory requirements and licensing requirements
- Strong business acumen and communication and presentation skills
- Excellent written and verbal command of English and Chinese, fluency in Putonghua
Interested parties please send your resume to email@example.com
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