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Aberdeen

    Compliance Manager - Aberdeen, United Kingdom - Hkese

    Hkese
    Hkese Aberdeen, United Kingdom

    1 week ago

    Default job background
    Description

    Manager / Senior Associate

    – SFC Licensed Corporation Consulting (Compliance, Accounting and Operation)

    Alpha Financial Consultancy Limited

    Job Highlights

    • Broad exposure in SFC licensed business – type 1, 4 and 9
    • Prospect to become a SFC licensed representative / responsible officer
    • Stable working hours
    • Good career prospects

    Job Descriptions

    Alpha Financial Consultancy Limited () is an asset management business consultancy firm serving boutique fund managers, especially SFC Type 4 & 9 licensed corporations. We are looking for manager / senior associate candidates who have interestin developing in SFC licensed asset management business, and are keen to apply and grow their knowledge and experiences by working with a growing company like ours.

    Responsibilities:

    • Perform compliance work, including compliance reviews, internal audits, compliance monitoring and record keeping (e.g. personal account dealing, CPT, gift/entertainment, complaints, etc.)
    • Prepare, maintain and / or implement compliance manuals, policies and procedures.
    • Prepare / review FRR, BRMQ, ADD, and other SFC surveys.
    • Prepare updateson SFC regulatory developments.
    • Handle regulatory compliance enquiries.
    • Handle book-keeping, management account preparation, and annual audit coordination.
    • Provide business development support, includingpreparing contracts, term sheets, sales pitches, etc.
    • Develop materials and / or conduct training relating to compliance, accounting and operation.
    • Handle finance management and office administrative tasks.
    • Develop and manage a team to perform the above responsibilities.

    Requirements:

    • Degree holder in Finance/Accounting/Law/Risk Management or other related disciplines.
    • At least 3 to 5 years of compliance experience in SFC licensed type 1, 4 and 9 regulated activities.
    • Strong knowledge of laws, rules and regulations in respect of Type 1, 4, and 9 regulated activities.
    • Professional and practical approaches when providing regulatory compliance services.
    • Experience in handling bookkeeping and coordinating audits of SFC Type 4 and 9 business.
    • Hands-on, well organized, self-motivated, good interpersonal and leadership skill.
    • Work experience at the SFC is a plus.
    • Good command of spoken and written English, Cantonese and Mandarin.

    Job format:

    • Full Time, 9:30 am – 6:30 pm Monday to Friday.
    • Bank holidays.

    Work Location: Cyberport

    • Shuttle Servicefrom / to:
      • Yuen Long, Tuen Mun, Tsuen Wan, Mei Foo, Tai Wai, Kowloon Tong, Olympic, Hang Hau, Lam Tin, Central, Kennedy Town, Yau Tong, Taikoo Shing, Sheung Wan, Sai Wan, Causeway Bay, Aberdeen, Mong Kok, Yau Ma Tei;
    • Please refer to the following for more locations:

    Candidates will only be considered where their resumes include the current and expected salary information.

    Additional Information

    Career Level

    Mid Level

    Qualification

    Degree

    Yr(s) of Exp

    3 - 5 years

    Employment Type

    Full Time

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