Description
We have a leading financial services practice in the Asian Region. Due to the continued growth in the demand for compliance and regulatory services, the practice invites a high calibre candidate to join its Compliance and Regulatory team.
Responsibilities
* to advise financial services clients in relation to their Hong Kong regulatory and compliance needs
* to build, develop and maintain excellent relationships with financial services clients and act as a “trusted compliance advisor”
* to maintain good relationships and close collaboration with appropriate personnel of the Securities & Futures Commission
* to design and set up compliance systems and procedures for internal use
Requirements
* a degree holder (in law or other business related discipline) with at least 5 years of relevant experience
* a solid track record in compliance and regulatory work, particularly in the areas of FRRS, DOI filings, Investment guideline compliance, handling trading errors, review of marketing materials, corporate governance set-up, inside dealing and disciplinary proceeding
* specific knowledge of the SFC codes, guidelines and practices
* familiarity in drafting compliance manuals, policies and procedures
* familiarity with the procedure in SFC licence applications and filings
* good understanding of the Securities & Futures Act
* ability to handle SFC inquiries, SFC inspections and mock inspections independently
* self-driven and work independently
* a team player with good interpersonal skills
* personal confidence in handling direct client communications professionally and competently
* excellent verbal and written communication skills, particularly in Chinese (Proficiency in Putonghua is a must)
Other Benefits
Attractive salary and fringe benefits will be offered to the right candidate.
For more information please visit: Hong Kong Compliance & Regulatory Executive Position If you need further assistance please contact us at info@cqrecruit.com
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