Compliance Manager - Securities & Investments

  • Negotiable
  • Hong Kong
  • CDI, Plein-temps
  • Michael Page
  • 16 nov. 17 2017-11-16

A global leading consultancy group in Hong Kong have engaged Michael Page to recruit a newly created Compliance Manager position within Hong Kong. This role will provide compliance support and leadership to their industry leading Securities and Investment arm of the business.

Reporting to the Group Compliance Officer based overseas, you will be a senior stakeholder within the Hong Kong office.

Our client is one of the leading organisations with over 30,000 employees globally, with an excellent presence in Hong Kong and Asia. part of their expanding business, they are now looking for a Compliance Manager Compliance to join their Securities & investment compliance team.

Description

In a newly created position, you will have responsibility for regulatory compliance of the Investment and Securities businesses in Hong Kong, reporting to the Group Compliance Director, with dotted reporting lines to the Chief Compliance Officer, the Regional Operations Manager and the Country CEO. Strong working knowledge of Hong Kong Securities and Futures Commission (SFC) regulations is a must.

You will provide full oversight and management of the overall compliance framework for and delivery of compliance support to the Securities and Investment businesses in Hong Kong.

Duties include;

  • Providing strategic advice to management regarding the appropriate control environment, and technical regulatory advice as required in connection with the regulatory aspects of specific transactions, existing services and proposed new services.
  • Developing and monitoring effectiveness of the existing compliance functions in place and take ownership and action is taken where any deficiencies are identified.
  • Maintaining up to date knowledge of the regulatory framework in the Hong Kong market and determining how changes affect the client. Take ownership in changes to internal policies, manuals and procedures.
  • Carrying out regulatory audits to confirm compliance with external regulatory requirements and internal policies and procedures.
  • Dealing with any inquiries from and leading on behalf of the business during inspections or audits undertaken by the SFC and other regulatory authorities.
  • Providing regular compliance reports and briefings to management and relevant stakeholders the actions taken to manage the compliance risks, serious or persistent compliance issues, results of monitoring activity, results of internal or external audits and other compliance inspections, regulatory developments and breaches and any other relevant matters.

Profile

Along with the above skillset requirements, the successful candidate will hold 5+ yeas strong knowledge and understanding of the local regulatory framework and regulatory compliance experience. Experience in dealing with regulators especially SFC and understanding of overseas' regulatory frameworks is preferred. You will have strong problem-solving skills and ability to handle high pressure working environment. Finally, you will hold strong communication skills, with an excellent command of written and spoken English.

Job Offer

In return, this is an exemplary opportunity to join a world class organisation, and to benefit from an unrivalled career opportunities. With a highly competitive salary and benefits scheme, this role will attract high interest. Please apply promptly with an up to date Resume, or call Neil Mehaffey directly on +852 2848 9517.

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Neil Mehaffey on +852 2848 9517.