Senior Manager/ Manager Compliance - Securities Firm

- Looking for well rounded compliance bkgd from securities firm - Must be able to read and write chinese and speak mandarin About Our Client This company is a prominent Chinese financial institution offering securities services and financial products regulated by the Securities and Futures Commission (SFC) in Hong Kong. They are SFC license 1 2 4 6 9 with over 100 staff in HK. Job Description As a Senior Manager/Manager Compliance, your main responsibilities will include: - Overseeing compliance programs and ensuring adherence to regulatory requirements in Hong Kong. - Developing and implementing compliance policies and procedures to mitigate risks. - Monitoring changes in regulatory requirements and providing guidance to relevant teams. - Conducting compliance reviews and audits to identify potential areas of risk. - Collaborating with internal departments to ensure compliance practices are integrated into operations. - Providing training and guidance to staff on compliance-related matters. - Preparing compliance reports for senior management and regulatory bodies. - Responding to inquiries and investigations from regulatory authorities. The Successful Applicant A Successful Senior Manager/Manager Compliance Should Have - bachelor degree - 5-8+ years of compliance experience from securities firm - In-depth knowledge of Hong Kong regulatory requirements and guidelines. - A proven ability to develop and implement effective compliance frameworks. - Excellent analytical skills and attention to detail. - Effective communication skills for liaising with internal teams and regulators. - Must be able to read and write chinese and speak mandarin What's on Offer - Comprehensive benefits package tailored to employees' needs. - Opportunities for professional growth within a large organization. - Work in the heart of Hong Kong's financial services industry. - Collaborative and supportive workplace culture. If you are passionate about compliance and risk management, we encourage you to apply for this exciting Senior Manager/Manager Compliance opportunity in Hong Kong. Contact: Monica Wong Quote job ref: JN-072026-7053720

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