Our client is a fast-growing Securities Brokerage firm. They are now looking for a Compliance Manager.
- Responsible for providing compliance advice to a wide range of corporate finance and asset management activities
- Responsible for carrying out the compliance works to ensure the company’s business operations are strictly in compliance with regulatory requirements
- Periodically report on significant activities conducted and planned for the upcoming period
- Conduct ad hoc test work of various rules and regulations
- Conduct or assist with special investigations and projects as deemed necessary by senior compliance and business management
- Assist in compliance-related matters during examinations by the bank’s regulators and internal auditors/IG
- Minimum of 3 years' relevant working experience
- Candidate will be familiar with the regulatory guidelines on corporate finance matters
- Excellent command of English and Chinese
If you are interested in this or similar roles, please contact Allan Wan at firstname.lastname@example.org or call 359-562-020.