Senior Compliance Officer
Responsibilities:
- To ensure compliance with the regulatory requirements for distribution of investment products issued by SFC including but not limited to suitability assessments, electronic dissemination and marketing guidelines and circulars
- To draft, update and maintain the firm's policies and manuals of the regulated activities
- To manage the investigation and resolution of any client complaints in accordance with regulatory timelines, and liaise with the regulatory bodies
- To organize and deliver training to all licensed staff
- To monitor changes in the regulatory landscape and provide impact assessments to senior management
Requirement & Qualification:
- Bachelor degree in Law, Finance, Business or a related field
- At least 5 years of compliance experience within an SFC-licensed firms, financial institutions, big 4 audit firms, or law firms focusing on distribution of investment products
- In-depth understanding of the Securities and Futures Ordinance (SFO) and the SFC Code of conduct and fund compliance
- Proficient in written and spoken English and Chinese
- Candidates with more experience will be considered as senior position
- Immediately available is preferred
We offer competitive remuneration package to the right candidates.
Application Methods :
Interested applicant should apply with detailed resume and present & expected salary and email to: recruit@bsgroup.com.hk
All information collected will be used for recruitment purpose only.
