Job Description: Compliance Manager
Company: iPlatform HR Service Limited
Location: Wan Chai, Wan Chai District
Industries: Compliance & Risk (Banking & Financial Services)
Position Type: Full time
Salary: $30,000 – $45,000 per month
About Us
We, Iplatform HR Service Limited, are collaborating with a leading company in the credit ratings field. Founded in 2017, our client has quickly become a significant player with a strong international presence. Based in Hong Kong, they focus on providing high-quality credit rating services across the globe.
Licensed and overseen by the HKSFC, they are recognized for their commitment to the highest standards of service. If you're looking to join a company that values precision and expertise in financial analysis, this is the perfect opportunity for you!
Job Description:
- Oversee the general compliance and carry out regular and other necessary checks/investigations to ensure daily operations comply with the HKSFC regulations (and other regulatory requirements in different markets) and internal policies
- Formulate, review, and update internal manuals, policies, and procedures to ensure in compliance with rules and regulations of the HKSFC
- Responsible for advising the business and management on compliance matters
- Liaise with external lawyers to provide legal advice to the company
- Handle day to day HKSFC compliance related matters, license applications, and inquiries from regulators, and prepare related documents and filings
- Provide compliance training to internal staffs
Requirements:
- Degree holder in finance, law or related majors is preferred
- More than 3 years of work experience as a General Compliance in a HKSFC licensed corporation
- Familiar with rules and regulations of the HKSFC
- Have a good understanding of credit rating business with experience in three major international rating agencies is preferred
- Able to work independently, self-motivated with strong sense of responsibility and analytical mind
- Good commend of spoken and written English and Chinese
职位描述:
-监察一般合规情况，并进行定期及其他必要的检查/调查，以确保日常运作符合香港证监会的法规(及不同市场的其他监管要求)及内部政策
-制订、检讨及更新内部手册、政策及程序，以确保符合香港证监会的规则及条例
-负责就合规事宜向业务和管理层提供建议
-与外部律师联系，为公司提供法律建议
-处理与香港证监会合规有关的日常事宜、牌照申请和监管机构的查询，并准备相关文件和申报
-为员工提供合规培训
任职资格:
- 金融、法律或相关专业本科以上学历优先
- 3 年以上在香港证监会持牌法团担任一般合规员的工作经验
- 熟悉香港证监会的规章制度
-了解信用评级业务，有三大国际评级机构工作经验者优先
- 能够独立工作，自我激励，责任心强，分析能力强
- 良好的英语和中文读写能力