Compliance Manager, Legal and Compliance
Location : Central and Western District
Post Date : 22 May 2017
Here is an exciting opportunity to expand your career in compliance. Our client is a dynamic and rapidly growing company looking for a well-rounded compliance person to join their legal and compliance team. This outstanding role will challenge and energize you, providing exposure to all areas of compliance in investment banking sector.
- Advise on compliance issues and potential impact of regulatory trends and developments.
- Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements.
- Establish, maintain and enforce effective compliance procedures to ensure compliance with the regulatory requirements e.g. financial resources requirements, business practices, internal control matters.
- Review the current compliance controls of the company and identify proper actions for improvement if necessary.
- Coordinate the disclosure of interest reporting and conflict of interest check.
- Ensure the applicable registration/licensing requirements are complied with.
- Monitor compliance with statutory reporting obligations.
- Ensure business units comply with internal and external anti-money laundering rules and regulations and implement AML training program.
- Establish and enhance compliance monitoring program on the Company's various activities and undertake investigations into any suspicious transactions reported by both internal and external customers.
- Report to management of all occurrences of material non-compliance with regulatory and/or internal operational requirements and suggest actions for rectifications.
- Raise and maintain compliance awareness among staff by providing them with relevant information, publications and training on compliance matters.
- Liaise with regulators on a regular basis and answer inquiries from internal and external auditors.
Your Skills & Experience
- Degree holder in Law, Accounting or related discipline(s).
- Minimum 3 years of compliance experience in a sizable investment banking and/or regulatory bodies.
- Good knowledge in securities laws, operations, products and services.
- Self-motivated, independent and pleasant personality with good communication skills at all levels.
- Good command of written and spoken English and Chinese (including Putonghua).
What's on offer?
- Stand-out development opportunities to drive your career higher.
- A highly diverse role with exposure to multiple areas of the business.
- A fast-paced, high energy working environment.
- The inspiration and support of a talented and professional team.
- A company dedicated to building the skills of its people through professional development and mentoring.
Robert Half Ltd is committed to equal opportunity and we value diversity at our company. We do not discriminate on the basis of categories protected under local law.
41 Connaught Road,