- Managing HKMA/ SFC license application and ensuring all licensed staff meet relevant ongoing obligations.
- Administering the Personal Account Dealing Policy, managing new hire disclosures, answering queries and appropriately handling breaches.
- Coordinating and monitoring the compliance training program, and maintaining internal and external records across all employee compliance areas.
- Monitoring employee e-communication and phone recordings.
- Identifying processes in need of improvement and designing and implementing solutions.
- University graduated in Finance, Business Administration or relevant disciplines.
- Enthusiastic about evaluating processes, proposing improvements, and managing the whole process of projects.
- Eager to learn about new technology and vendor systems, and able to communicate effectively with the relevant support teams
- Proactive, courteous, and flexible team player
- Fluency in written and spoken English and Chinese
General Compliance Specialist - Hong Kong, 香港 - ConnectedGroup Limited
描述
Our client, a reputable Global Financial Institution, is looking for a General Compliance Specialist to support various employee compliance requirements in their Hong Kong office. The person will need to enjoy both working with people and projects management. You should be able to handle questions and explain processes clearly to various internal staffs and external vendors, and work well with others to implement and improve the compliance processes.
Responsibilities:
To succeed in this role, you are requiring having an excellent communication skill with minimum 3 years' relevant compliance experience gained from international bank environment.
Requirements:
Our client offers attractive compensation, flexible, dynamic and fast-paced work environment.
For all interested parties, please contact and send your CV to Selene Ma at for more details. For other available opportunities, please visit