Compliance & Audit Manager (Compliance, Audit, Equities, Funds) (Securities)

Classy Wheeler Limited; Hong Kong; On-site; HKD 600,000 - 800,000; Full time

Job summary

A leading financial institution in Hong Kong seeks a Compliance & Audit Manager to oversee compliance policies and conduct internal audits primarily focused on equities and funds. The ideal candidate will have relevant experience in the financial sector, strong knowledge of local regulations, and excellent analytical skills. Proficiency in English and Chinese (Cantonese/Mandarin) is essential. Join this dynamic team to contribute to regulatory compliance and enhance operational integrity.

Qualifications

• Experience in compliance or audit role in financial or securities sector.
• Understanding of local regulatory frameworks related to SFC licenses.
• Excellent analytical skills to interpret financial regulations.

Responsibilities

• Implement compliance policies and internal control procedures.
• Perform internal audits and risk assessments focusing on equities and funds.
• Provide advice to departments on regulatory matters.

Skills

Compliance policies development

Internal audit execution

Risk assessment

Regulatory advice

Communication in English

Communication in Chinese (Cantonese/Mandarin)

Education

Relevant degree in Finance, Accounting, Law

Job description

Compliance & Audit Manager (Compliance, Audit, Equities, Funds) (Securities)

Client Description

Company Description: A leading financial institution in the securities industry, committed to providing comprehensive and professional financial services.
Location: Hong Kong
Nature: Permanent

Job Description

• Reviewing, developing, and implementing compliance policies and internal control procedures to ensure adherence to regulatory requirements.
• Performing internal audits and risk assessments across business activities, primarily focusing on equities and funds.
• Providing professional advice and guidance to various departments on regulatory and compliance matters, specifically related to SFC license types 1, 4, 5, and 9.
• Preparing detailed reports on compliance findings and presenting recommendations directly to the Chief Executive Officer (CEO).
• Coordinating with external auditors and regulatory bodies during examinations and inquiries.

Job Requirements

• Relevant experience in a compliance or audit role within the financial or securities sector, with exposure to equities and funds.
• Strong understanding of local regulatory frameworks and industry best practices related to SFC license types 1, 4, 5, and 9.
• Excellent analytical skills with the ability to interpret complex financial regulations and assess potential risks.
• Proficient communication skills in both written and spoken English and Chinese (Cantonese/Mandarin).
• A relevant degree in Finance, Accounting, Law, or a related discipline.