Our client is an Asset Management Co. currently holding SFC licenses 1,2,4,5 & 9. She is going to set up the new business lines in Type 6, Insurance Brokerage and Money Lending.
- Report to the Management
- One man band and work closely with external compliance consulting firm
- Provide ongoing compliance advice and support business initiatives
- Monitor regulatory changes and update the policies and procedures
- Handle regulatory reporting and inquires with the relevant exchanges, SFC and
- Prepare and review compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes
- Manage internal and external audit, inspections and investigations from the
auditors, exchanges and regulators
- Liaise and collaborate with different departments to formulate, drive and implement remediation of compliance issues
- Conduct in-house compliance training
- Handling SFC licensing application, licensing matters, CPT requirement management etc.
- Assist in ad hoc projects as required
- Bachelor’s Degree or above
- 8-10 years relevant working experience in compliance in Financial Sector
- Good knowledge of SFC regulations, guidelines and market practices
- Responsible, hardworking and well-organized
- Good command of both written and spoken English and Chinese including fluency of Mandarin
- Legal experience is preferred
Interested candidates please send your cv to firstname.lastname@example.org or contact us at 25200104.
To apply for this job, please send your CV to email@example.com