Compliance Manager/Senior Manager- Brokerage

Responsibilities:

Develop and implement compliance policy and review program covering our equities and futures businesses with particular emphasis on the compliance with the relevant rules and regulations in Hong Kong;

Provide compliance guidance, conduct training and make recommendations for improvement areas to minimize compliance risk;

Advise business units on relevant compliance related matters such as reviewing new products and marketing materials;

Participate in new product development and undertake projects when necessary;

Perform trade surveillance and other regular reviews to identify potential compliance or internal control issues;

Liaise with regulators, auditors, business and functional units on compliance issues;

Such other duties as shall be directed by your superiors from time to time.

Requirements:

Degree holder in Accounting, Finance, Law, Risk or other related disciplines;   

Minimum 5 years of related working experience in financial industry holding SFC type 1, 2, 4, 5 regulated activities, highly prefer in sizable Chinese securities firm / SFC would be advantages;

Familiar with Securities and Futures Ordinance and applicable statutory and regulatory requirements;

Good advisory and communication skills and ability to work under minimum supervision;

Good command of both written and spoken English and Chinese, ability to communicate in Mandarin preferred.