Manager/ Senior Consultant, Regulatory Compliance

Mario Recruitment Limited
Hong Kong
All round development
Apr 26, 2018
Apr 29, 2018
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

Job Responsibilities:

  • Conduct annual compliance reviews on existing client portfolio
  • Manage and ensure policies and procedures are in compliance with┬áSecurities and Futures Ordinance and Codes and Guidelines;
  • Assist in all SFC regulated activities to ensure full regulatory compliance and good market practice;
  • Establish, enhance, monitor and perform compliance controls over operations and business activities
  • Develop and implement risk management, internal control and Compliance assurance program within the organization

Job Requirements:

  • University graduate (preferably in Law or Accountancy), professional qualification in CPA/CFA would be an advantage;
  • At least 5-6 years' solid compliance experience in sizeable financial intermediaries, professional firms or regulator;
  • Understanding of FRR would be an advantage
  • Familiar with the Securities and Futures Ordinance and Codes and Guidelines issued by the Securities and Futures Commission;
  • Well organized, self-motivated and good interpersonal skill; and
  • Good command of spoken and written English, Cantonese and Mandarin

Similar jobs

Similar jobs