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Central Compliance Manager

  • Location: Hong Kong
  • Salary: Negotiable per annum
  • Job Type:Permanent

Posted 16 days ago

  • Sector: Legal & Compliance
  • Contact: Calvin Chan
  • Expiry Date: 20 April 2023
  • Job Ref: JN -032023-477760

My client, an investment bank with business coverage in multiple jurisdictions is looking for a Central Compliance Manager to join the team.

Responsibilities

  • Lead the team to handle SFC licensing matters, including license applications, terminations, notifications and submission of Annual Returns
  • Supervise the team on handling Staff Dealing policies and monitoring program
  • Work closely with the group's senior management for staff dealing, licensing issues and advise on staff dealing and licensing inquiries from all levels
  • Update Compliance documentation including Compliance notices and policies

Requirements

  • Degree holder with at least 5 years of experience in compliance/audit in financial industry or financial services regulatory body
  • Sound knowledge of Securities & Futures Ordinance, SFC licensing matters, rules and regulations
  • Good understanding of investment products such as funds, bonds and/or securities is a plus
  • Fluent in English, and Chinese (including Mandarin)

Please feel free to contact Calvin Chan at cchan@argyllscott.com.hk for more information or apply for the job.

Argyll Scott Asia is acting as an Employment Agency in relation to this vacancy.