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Assistant Compliance Manager

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Assistant Compliance Manager

Sinolink Securities (Hong Kong) Company Limited
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Job description

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

More Information

SalaryN/A (Search your salary info in SalaryCheck)
Job Function
Location
  • Sheung Wan
Work Model
  • On-site / At the workplace
Industry
Employment Term
  • Full-time
Experience
  • 3 years - 8 years
Career Level
  • Non-management level
Education
  • Degree