Compliance Associate Manager - Bengaluru, Karnataka

Only for registered members Bengaluru, Karnataka, India

1 week ago

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Job summary

We are seeking an experienced Compliance Manager to join our Compliance team supporting our Hong Kong regulated business from India.

Responsibilities

  • Support implementation and maintenance of policies procedures and controls aligned to Hong Kong requirements e.g SFO SFC Code of Conduct relevant guidelines circulars.
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  • Execute elements of the compliance monitoring plan CMP including thematic reviews and controls testing covering dealing advisory asset management related processes.
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  • Perform reviews of marketing materials product disclosures client communications agreements and other documentation against internal standards and Hong Kong regulatory expectations with escalation as needed.
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  • Support surveillance activities as applicable such as exception reviews communications monitoring support and first-line supervision checks coordination sampling QA.
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