Senior Compliance Manager — Regulatory Risk & Controls

uSMART Securities Limited

Hong Kong

Sur place

HKD 500 000 - 900 000

Plein temps

14 jours+

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Résumé du poste

uSMART Securities Limited in Hong Kong invites an experienced Compliance Manager to conduct risk-based reviews ensuring adherence to SFO, SFC codes, and applicable guidelines. You will identify control gaps, prepare reports with recommendations, and drive remediation tracking.

Responsibilities include assisting the Department Head to update compliance policies, programs and procedures, plus handling ad-hoc tasks. Strong English and Cantonese/Putonghua communication is required.

Qualifications

Degree holder in Law, Finance, Accounting, or related disciplines.
Minimum 5 years in compliance or audit, with exposure to Type 1, 4, 6 & 9 activities.
Solid knowledge of equities, futures, options; knowledge of HK SFO, SFC codes and Guidelines.
Knowledge of QI, CRS and FATCA will be preferred.
Good command of written and spoken English and Chinese (Cantonese and Putonghua).

Responsabilités

Conduct risk-based compliance reviews to ensure regulatory adherence.
Identify regulatory risks and control issues; prepare review reports with recommendations.
Follow up remediation actions to closure.
Assist Department Head in updating policies, programs and controls.
Handle ad-hoc tasks as assigned by the head of compliance.