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Compliance Manager, Licensing

  • Location: Hong Kong
  • Salary: Negotiable per annum
  • Job Type:Permanent

Posted 12 months ago

  • Sector: Legal & Compliance
  • Function: Legal
  • Contact: Calvin Chan
  • Start Date: ASAP
  • Expiry Date: 02 June 2023
  • Job Ref: JN -032023-477760

My client, a regional investment bank is looking for a Compliance Manager to join the licensing team.

Responsibilities

  • Handle SFC licensing matters (including RO, Sponsor Principal, MIC & RA)
  • Work closely with senior management for licensing issues and advise on licensing inquiries for all levels
  • Assist in the implementation of the new compliance system to comply with the latest regulatory requirements
  • Update Compliance documentation including Compliance notices and policies

Requirements

  • Degree holder with at least 5 years of experience in compliance/audit in financial industry or financial services regulatory body
  • Sound knowledge of the Securities & Futures Ordinance, SFC licensing matters, rules and regulations
  • Fluent in English and Chinese (Cantonese and Mandarin)

Please feel free to contact Calvin Chan at cchan@argyllscott.com.hk for more information or apply for the job.

Argyll Scott Asia is acting as an Employment Agency in relation to this vacancy.