Senior Compliance & Audit Lead - Equities & Funds

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

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.