Compliance manager-Senior Compliance Manager
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.
- Create and maintain a regulatory inventory.
- Update relevant policies to ensure they reflect regulatory requirements for FLU/CF.
- Contribute to compliance risk assessments.
- Contribute to monitoring and testing coverage plans and related metrics.
- Monitor and test the effectiveness of the front line unit and control function compliance risk controls for FLU/CF.
- Identify aggregate, report and escalate compliance risks, issues and control enhancements for FLU/CF.
- Assist in the execution of governance and management routines.
- Identify compliance training needs and inspect FLU/CF and third party participation for FLU/CF.
- Assist with preparations for regulatory exams and audits for FLU/CF.
- Inspect that commitments made regarding actions in response to Matters Requiring Attention ("MRAs") and other actions are completed for FLU/CF.
- Escalate regulatory relations concerns to Compliance Manager or Executive.
- Provide compliance advice to internal parties from a regulatory perspective
Your Skills & Experience
- Degree holder in Law, Accounting or related discipline(s).
- 5-15 years of relevant Investment Banking or Securities brokerage compliance experience.
- Self-motivated, independent and pleasant personality with good communication skills at all levels.
- Good command of written and spoken English and Chinese, Putonghua is a plus.
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,