Manager/ Senior Consultant, Regulatory Compliance

Employer
Mario Recruitment Limited
Location
Hong Kong
Salary
All round development
Posted
Apr 20, 2018
Closes
May 22, 2018
Job Function
Accounting/Audit/Tax
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors

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

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