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
- Job No.:
-
24525
- Date:
-
12/01/2021
- Job Category:
-
Banking
- Salary:
-
$Neg.
- Qualification:
-
Degree
- Apply Email:
-
[email protected]
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