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General Compliance Manager (HK$45K - $70K) (Ref. No.:24525)

Our client, a Leading Bank, is looking for high-caliber person to fill the position

Job Duties

  • Mainly responsible for the compliance of investment products and financial products related to HKMA regulated activities (1 & 4)
  • Monitor the compliance of investment product risk assessment and sales process
  • Carry out relevant compliance reviews, gap analysis and self-assessment
  • Conduct regular trade based surveillance review to ensure adherence to company's policy and relevant rules and regulations
  • Control room management and keep the branch watch list and restricted list
  • Provide relevant compliance consulting and compliance training

Job Requirements

  • Bachelor degree or above in business, law, management, accounting, etc
  • At least 5 years experience in trade surveillance or control room functions is preferable
  • Familiar with SFC or other regulatory rules
  • Strong product and transaction knowledge
  • Proficiency in written and spoken Mandarin and English
  • Team player with independent ability to solve problems
  • Good communication and coordination skills
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