Compliance and Regulatory Manager/ Officer

2 months ago

Aberdeen, Aberdeen City, United Kingdom Hkese Full time

Job Title: Compliance and Regulatory Manager/ Officer

Company: Hkese

Job Type: Full Time

Location: Not Specified

Job Description:

Job Summary:

We are seeking a highly skilled Compliance and Regulatory Manager/ Officer to join our team at Hkese. The successful candidate will be responsible for ensuring that our business operations are in compliance with relevant laws, regulations, and industry standards.

Key Responsibilities:

  • Compliance Work:
    • Perform compliance reviews, internal audits, and compliance monitoring.
    • Prepare and maintain compliance manuals, policies, and procedures.
    • Prepare and review regulatory submissions, including FRR, BRMQ, ADD, and other SFC surveys.
    • Stay up-to-date with regulatory developments and provide updates to the team.
  • Regulatory Compliance:
    • Handle regulatory compliance inquiries and provide guidance to the team.
    • Develop and implement compliance training programs for the team.
  • Business Development:
    • Support business development activities, including preparing contracts, term sheets, and sales pitches.
  • Finance and Administration:
    • Handle finance management and office administrative tasks.

Requirements:

  • Degree holder in Finance, Accounting, Law, Risk Management, or 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.
  • Good command of spoken and written English, Cantonese, and Mandarin.

Working Hours:

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

Additional Information:

Career Level: Mid Level

Qualification: Degree

Yr(s) of Exp: 3 - 5 years

Employment Type: Full Time

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