Assistant Compliance Manager
Posted on 19d ago
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Assistant Compliance Manager
Sinolink Securities (Hong Kong) Company LimitedJob description
Responsibilities:
Requirements
Responsibilities:
- Establish and carry out all compliance functions to ensure the Company adhere to relevant legal and regulatory requirements
- Provide advice on compliance issues and potential impact of regulatory trends and developments for Securities services
- Recommend and advise business line managers to implement adequate procedures and controls to comply with all applicable regulations, laws and codes
- Ensure the applicable registration/licensing requirements are complied with SFC
- Monitor compliance with statutory reporting obligations
- Provide advice on the applications of Compliance rules and policies to support business activities covering Hong Kong and overseas
- Assist in drafting and/or reviewing policies and procedures, checking plan, programmers, checklists and reports
- Provide Compliance training to the staff with regards to rules and regulations as well as standards of conduct
- Perform the Company Secretary function
- Provide legal advice to different business units when necessary with the assistance of external legal advisor
- Perform ad hoc projects as required
Requirements
- Degree holder in Finance, Accounting, Business, Economics or other related disciplines, legal background is highly preferred
- SFC licensed person with Type 1,2,6,9 regulated activities who are familiar with local regulatory and compliance requirements is preferred
- Minimum 3 years compliance or legal experience in a sizable financial institutional and/or regulatory bodies, preferably with Securities and Futures Products experience is higher preferred
- Good knowledge in securities laws, operations, products and services
- Able to work independent with tactful and mature character
- Self-motivated, independent and pleasant personality with good communication skills at all level
- Good command of spoken and written Mandarin, English and Cantonese
Skills
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