- Develop, roll-out and maintain/ review/ enhance compliance related policies and procedures as well as proper control to ensure that Company’s activities are in compliance with latest statutory and regulatory requirements;
- Assess impact of regulatory changes and advise on updates to compliance policies whenever required;
- Drive firm-wide compliance or ad hoc projects, investigate special cases, handle ad hoc requests from head office and/or regulatory bodies, if any;
- To liaise with regulatory bodies, internal and/or external auditors;
- Provide guidance to junior staff of the Department and compliance training to staff of relevant business and support units;
- Oversee AML investigations for all of the business lines and provide AML expertise to other cross functional committees;
- Manage and take part in daily AML compliance checking monitoring function
- Bachelor degree or above in law, finance or accounting
- A minimum of 8 years of relevant experiences;
- Good knowledge of SFC regulations, and financial products;
Solid experience in handling Compliance issues in the areas of Equities Brokerage and Asset Management;
- Practical experience including FICC and OTC derivatives products
- Responsible, detailed-mind, well-organized with good communication skills;
- Excellent command of spoken and written Chinese and English. Conversational level of Mandarin is required.
If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, nestor.roldan @ charterhouse.com.hk Tel: (852) 3151 1300 Web: www.charterhouse.com.hk
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