Description

Job Title: Assistant Manager / Manager - Conduct & Compliance Assurance

Location: Kwun Tong, Hong Kong

Role Overview

We are seeking a compliance professional (assistant manager or manager level) who is hard-working, detail-oriented, collaborative, and a problem solver to assist with the design and delivery of our internal conduct and compliance assurance program. This role will involve implementing internal compliance and conducting uplift initiatives, performing compliance reviews and monitoring activities, and managing APAC staff training. A proactive approach and a willingness to learn new skills in a dynamic environment are essential.

Responsibilities

This role has regional responsibility and will involve:

• Compliance Reviews: Performing and improving compliance review processes while managing the associated workload.
• Internal Staff Conduct: Collaborating with APAC Compliance, HR, and other teams to monitor internal staff conduct and enhance documentation within local APAC policies or as an extension of Group policies.
• Staff Training: Designing, developing, and delivering localized compliance and conduct training in collaboration with local and Global Training teams.
• Support: Assisting senior team members in delivering compliance assurance, documentation, and advisory services across APAC entities.

Required Knowledge, Skills, and Experience

• 3+ years of experience in the financial services industry or related fields.
• Familiarity with the regulatory environment applicable to the Financial Services industry.
• Experience performing compliance reviews, controls testing, or similar assurance activities.
• Fluency in English (both written and spoken) is essential; Chinese language skills are also well-regarded.
• Excellent verbal and written communication skills.
• Strong stakeholder management skills, with the ability to engage with stakeholders at various levels.
• Good quantitative, analytical, and problem-solving abilities.
• Solid academic background with relevant qualifications.
• A "can do" attitude and a willingness to learn.
• Good organizational skills with the ability to multi-task, prioritize, and work with minimal supervision.
• High comfort level with computers and technology, along with an understanding of how technology applies to business and regulatory challenges.

Company Benefits & Perks

• Competitive salary, annual performance-based bonus, and stock grant.
• Excellent health and welfare benefits, including medical, dental, specialist, and inpatient care.
• Competitive annual leave package.
• Daily in-house lunch with a fully stocked kitchen.
• Modern office environment with multi-monitor setups.
• Great work-life balance.
• Unique opportunity to gain exposure to global financial products, markets, and clientele.
• Opportunities for career progression and job scope expansion in a global company with a growing local presence.
• Hybrid work arrangement.

If this job isn't quite right for you, but you know someone who would be great for this role, why not take advantage of our referral scheme?

We offer HKD1000 in Apple gift cards for every referred candidate who we place in a role. Terms & Conditions Apply.

https://harbridgepartners.com/referral-scheme/

Please send an updated resume in English to our Managing Partner at ec(at)Harbridgepartners(dot)com

Interested in this and other roles? Please send an updated resume in English to CV[@]harbridgepartners[dot]com

Or contact +852 2523 9955 - and ask for Edward Chen, Richard Liu, Cora Pang

Harbridge Partners Limited

Employment Agency License: 75427