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Compliance Head Director Sr Manager Manager Newly est. F.I.

Location Hong Kong, Hong Kong
Posted 25-June-2019
Compliance Head (Director / Sr Manager / Manager) – Newly est. F.I.
[Description] Responsibilities:

This position reports to the CEO in Hong Kong and Management in PRC. Work independent (one man band) to set up the department & handle daily operation
Assist and follow the SFC license 9 application of asset management
Design and conduct an effective compliance framework and monitor relevant legislation/policies with respect to local statutory/policies requirements
Review of new products and/or business initiatives and advise on any compliance issues based on applicable rules, regulations, policies and/or procedures
Set up, drafting and/or reviewing the Firm’s policies and procedures
Coordinating KYC, AML-related issues and projects
In-charge of overall internal review/controls of materials and external documents
Providing compliance training to ensure all standards are followed internally and appropriate procedures are in-place for internal work-flow
Ensure that marketing material and advertisement compliance with applicable legal & regulatory requirements
The licensing registration and deregistration for the staff


Degree holder in Finance, Accounting, Law, Business, Economics or other related areas
Minimum 8 years experience in the compliance of financial institution
Solid compliance experience especially in IPO and Asset Management
Knowledge of statutory and regulatory requirements and familiar in dealing with compliance issues
Hands on experience in dealing with regulatory bodies
Independent, mature, self-initiative and good interpersonal skills
Excellent spoken and written in English, Cantonese and Mandarin
Immediate available is preferred
Salary details
USD 80000.00 to USD 150000.00

Awards & Accolades for MyTechLogy
Winner of
Top 100 Asia
Finalist at SiTF Awards 2014 under the category Best Social & Community Product
Finalist at HR Vendor of the Year 2015 Awards under the category Best Learning Management System
Finalist at HR Vendor of the Year 2015 Awards under the category Best Talent Management Software
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