Compliance Manager

4 weeks ago

Aberdeen, United Kingdom Hkese Full time

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

#J-18808-Ljbffr

  • Assistant Compliance Manager

    1 month ago

    Aberdeen, United Kingdom Diageo Full time

    Assistant Compliance Manager page is loaded Assistant Compliance Manager Apply locations Dalwhinnie Visitors Centre time type Full time posted on Posted 3 Days Ago job requisition id JR1091829 Job Description : Assistant Compliance Manager Dalwhinnie Visitor Centre Permanent - Full Time  The successful candidate will be responsible...

  • NATIONAL AOC Safety and Compliance Manager

    3 weeks ago

    Aberdeen, United Kingdom AIR Personnel Ltd Full time

    Air Personnel are looking for a NATIONAL AOC Safety and Compliance Manager to join their client in Aberdeen.Regional, vitally important role maintaining and continuously improving compliance across the multi discipline areas of aviation regulation, health, safety and environmental performance. Responsible for implementing and monitoring policies and...

  • Compliance Monitoring and Safety Manager

    2 weeks ago

    Aberdeen, United Kingdom Oaklands Global Aviation Recruitment & Executive Search Full time

    Are You an Aviation Safety Champion? Do you thrive in a fast-paced environment where safety is paramount? Oaklands Global are searching for a highly motivated National AOC Safety & Compliance Manager to join our client’s dynamic team. This is a pivotal role for anyone passionate about aviation safety and ensuring the highest standards are consistently...

  • Compliance Monitoring and Safety Manager

    2 weeks ago

    Aberdeen, United Kingdom Oaklands Global Aviation Recruitment & Executive Search Full time

    Are You an Aviation Safety Champion? Do you thrive in a fast-paced environment where safety is paramount? Oaklands Global are searching for a highly motivated National AOC Safety & Compliance Manager to join our client’s dynamic team. This is a pivotal role for anyone passionate about aviation safety and ensuring the highest standards are consistently...

  • Compliance Monitoring and Safety Manager

    2 days ago

    Aberdeen, United Kingdom Oaklands Global Aviation Recruitment & Executive Search Full time

    Job Description Are You an Aviation Safety Champion? Do you thrive in a fast-paced environment where safety is paramount? Oaklands Global are searching for a highly motivated National AOC Safety & Compliance Manager to join our client’s dynamic team. This is a pivotal role for anyone passionate about aviation safety and ensuring the highest standards...

  • NATIONAL AOC Safety and Compliance Manager

    2 weeks ago

    Aberdeen, United Kingdom AIR Personnel Ltd Full time

    Air Personnel are looking for a NATIONAL AOC Safety and Compliance Manager to join their client in Aberdeen. Regional, vitally important role maintaining and continuously improving compliance across the multi discipline areas of aviation regulation, health, safety and environmental performance. Responsible for implementing and monitoring policies and...

  • Compliance Lead

    3 weeks ago

    Aberdeen, United Kingdom Company: Full time

    Find jobs in the automotive retail industry Air Personnel are looking for a Compliance LeadWe are currently seeking a full time, permanent Compliance Lead. – Travel will be required as part of the role.Purpose of the role:This is an important role in maintaining and continuously improving compliance performance and maintaining standards for Pt.145,...

  • Compliance Lead

    3 weeks ago

    Aberdeen, United Kingdom AIR Personnel Ltd Full time

    Air Personnel are looking for a Compliance LeadWe are currently seeking a full time, permanent Compliance Lead. – Travel will be required as part of the role.Purpose of the role:This is an important role in maintaining and continuously improving compliance performance and maintaining standards for Pt.145, Pt.147, Pt.21J, Pt.CAMO, Ground and Flight...

  • Compliance Coordinator

    1 month ago

    Aberdeen, United Kingdom Wood Plc Full time

    Overview / Responsibilities: Wood is currently recruiting a Compliance Coordinator to join our Ethics and Compliance function, reporting to the Senior Ethics and Compliance Assurance Manager. The E&C function’s programme covers five areas: anti-bribery and anti-corruption, trade compliance, data privacy, compliance culture and anti-trust. The Compliance...

  • Compliance Administrator

    1 month ago

    Aberdeen, United Kingdom Search Consultancy Full time

    **Part Time Compliance Administrator** Excellent work life balance, the opportunity to work from home where desired, a friendly small team, a busy workload to keep you from clock watching and the opportunity to join a growing business in the heart of Aberdeen - these are just some of the benefits that come with this fantastic opportunity. 16 hours per week...

  • Compliance Lead

    2 weeks ago

    Aberdeen, United Kingdom AIR Personnel Ltd Full time

    Air Personnel are looking for a Compliance Lead We are currently seeking a full time, permanent Compliance Lead. Travel will be required as part of the role. Purpose of the role: This is an important role in maintaining and continuously improving compliance performance and maintaining standards for Pt.145, Pt.147, Pt.21J, Pt.CAMO, Ground and Flight...

  • Compliance Lead

    2 weeks ago

    Aberdeen, Aberdeen City, United Kingdom AIR Personnel Ltd Full time

    Air Personnel are looking for a Compliance Lead We are currently seeking a full time, permanent Compliance Lead. Travel will be required as part of the role. Purpose of the role: This is an important role in maintaining and continuously improving compliance performance and maintaining standards for Pt.145, Pt.147, Pt.21J, Pt.CAMO, Ground and Flight...

  • UK AOC Safety and Compliance Manager

    3 weeks ago

    Aberdeen, United Kingdom Bristow Full time

    This is a regional, vitally important role to maintaining and continuously improving Bristow Group’s compliance across the multi discipline areas of aviation regulation, health, safety and environmental performance. This role will be responsible for implementing and monitoring policies and procedures to meet regulatory requirements and support the Bristow...

  • UK Reporting

    4 hours ago

    Aberdeen, United Kingdom TechnipFMC Full time

    UK Reporting & Compliance Manager Location: Aberdeen, GB Employment type: Employee Place of work: Hybrid Offshore/Onshore: Onshore TechnipFMC is committed to driving real change in the energy industry. Our ambition is to build a sustainable future through relentless innovation and global collaboration – and we want you to be part of it. You’ll be...

  • National AOC Safety

    2 weeks ago

    Aberdeen, United Kingdom Oaklands Global Aviation Recruitment & Executive Search Full time

    Are You an Aviation Safety Champion? Do you thrive in a fast-paced environment where safety is paramount? Oaklands Global are searching for a highly motivated National AOC Safety & Compliance Manager to join our client’s dynamic team. This is a pivotal role for anyone passionate about aviation safety and ensuring the highest standards are consistently...

  • National AOC Safety

    2 weeks ago

    Aberdeen, United Kingdom Oaklands Global Aviation Recruitment & Executive Search Full time

    Are You an Aviation Safety Champion?Do you thrive in a fast-paced environment where safety is paramount?Oaklands Global are searching for a highly motivated National AOC Safety & Compliance Manager to join our client’s dynamic team. This is a pivotal role for anyone passionate about aviation safety and ensuring the highest standards are consistently met.In...

  • National AOC Safety

    2 weeks ago

    Aberdeen, United Kingdom Oaklands Global Aviation Recruitment & Executive Search Full time

    Are You an Aviation Safety Champion? Do you thrive in a fast-paced environment where safety is paramount? Oaklands Global are searching for a highly motivated National AOC Safety & Compliance Manager to join our client’s dynamic team. This is a pivotal role for anyone passionate about aviation safety and ensuring the highest standards are consistently...

  • National AOC Safety

    1 day ago

    Aberdeen, United Kingdom Oaklands Global Aviation Recruitment & Executive Search Full time

    Are You an Aviation Safety Champion?Submit your CV and any additional required information after you have read this description by clicking on the application button.Do you thrive in a fast-paced environment where safety is paramount?Oaklands Global are searching for a highly motivated National AOC Safety & Compliance Manager to join our client’s dynamic...

  • National AOC Safety

    2 days ago

    Aberdeen, United Kingdom Oaklands Global Aviation Recruitment & Executive Search Full time

    Job Description Are You an Aviation Safety Champion? Do you thrive in a fast-paced environment where safety is paramount? Oaklands Global are searching for a highly motivated National AOC Safety & Compliance Manager to join our client’s dynamic team. This is a pivotal role for anyone passionate about aviation safety and ensuring the highest standards are...

  • National AOC Safety

    2 weeks ago

    Aberdeen, United Kingdom Oaklands Global Aviation Recruitment & Executive Search Full time

    Are You an Aviation Safety Champion?Do you thrive in a fast-paced environment where safety is paramount?Oaklands Global are searching for a highly motivated National AOC Safety & Compliance Manager to join our client’s dynamic team. This is a pivotal role for anyone passionate about aviation safety and ensuring the highest standards are consistently met.In...