Senior Human Capital Consultant
Assist the Compliance Head to handle full spectrum of Compliance matters
Our client is a well established financial group with SFC Lic.: 1,2,4 & 9) . She is now seeking caliber candidate to join her team.
Location: East Kowloon
Budget : HK$40K – 50K
- Assist the Compliance Head to handle full spectrum of Compliance matters. Work with 1 subordinate.
- Handle SFC’s cases and enquiries, including the licensing , complaints and investigations.
- Supervise and review on the compliance testing performed by subordinates, and prepare monthly report to the management.
- Update the compliance manual and complaint policy, to ensure the compliance of Securities and Futures Ordinance, Code of Conduct and AML guideline.
- Ensure all activities and operations are complied to latest regulatory and internal requirements
- Conduct compliance reviews, risk assessments and control testing
- Assist in conducting UAT on system and other ad hoc projects
- Degree or above in related disciplines preferrable
- Minimum 5 year experience related experience in Securities firm / Financial Institutions/ Regulators
- Well versed with compliance and other regulatory requirements
- Detailed-minded with good organization, interpersonal and communication skills
- Proficient in MS office applications
- Good command of written and spoken English and Chinese (preferably fluent in Mandarin)