Looking for Compliance Manager under a leading Financial Services Company Job Responsibilities •To Develop & implement policies & procedures on daily trading & operations to ensure compliance with regulatory requirements & company policies •Provide advice to business departments on compliance related issues •Responsible for compliance, documentation issues in respect of new business and new product •Plan & conduct regular audits & investigations, where appropriate, & recommend enhancements/corrective actions •Coordinate with regulators for licensing & compliance matters •Ensure sufficient provision of training/education on compliance issues to staff Job Requirements •Degree holder in Accounting, Finance, Business or related disciplines •Minimum 5 years experience in compliance & control in margin financing / securities business in banking or related financial institution •Well-versed in SFC/HKEx rules & regulations & their compliance/practice Interested parties please send your full resume to resume@motivahk
Posted on: Thu, 13 Mar 2014 06:20:02 +0000
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