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Compliance Manager - Licensing

  • Location: Hong Kong, Central and Western District
  • Salary: Negotiable per annum
  • Job Type:Permanent

Posted about 1 month ago

My client, a leading investment bank in Asia, is looking for a Compliance Manager - Licensing to join the team.

Responsibilities

  • Handle licensing-related matters for individual and corporate level
  • Assist in establishing and developing appropriate and effective internal compliance policies and procedures on any new regulatory requirements and business activities
  • Work closely with back office, front office, internal and external auditors and regulatory authorities on compliance issues
  • Prepare responses to regulators' inquiries

Requirements

  • Degree holder with at least 5 years of relevant experience in securities firms, investment banks or Big 4.
  • Familiar with SFO and SFC regulations and guidelines
  • Good command of English and Chinese, including fluency in Mandarin
  • Candidates with less relevant experience will be considered as Assistant Manager

For more information, please feel free to contact Calvin Chan at +852 3695 5186 or send your CV to cchan@argyllscott.com.hk

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