Compliance Officer / Senior Officer
Client Description
Our client is a renowned financial services group. To cope with continues growth in securities and futures division they are now urgently looking for a Compliance Officer / Senior Officer to join the team in Hong Kong
Job Description
- Ensure company policies, internal control procedures and manuals are up-to-date with regulatory requirements and monitor adherence with these policies
- Maintain Continuous Professional Training records of licensed representatives
- Liaise with SFC, HKEX and regulators for any inquiries and requests
- Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML / PDD / KYC suitability policy
- Keep abreast of new regulatory requirements published by SFC, etc.
- Develop, draft and review a broad range of legal documents, announcement, notice, board resolutions, shareholders resolutions and company secretary documents
Job Requirements
- University degree in Law, Finance or related disciplines
- Minimum 2 years of relevant experiences from securities firms
- Good knowledge of the SFO and SFC codes and guidelines
- Detail-oriented, able to work independently and mature
- Excellent written and spoken English and Chinese (Cantonese)
Function
Banking / Finance
Employment Type
Permanent
Salary Range
Negotiable
Yr(s) of Exp
2
Education Required
Degree
Location
Kwun Tong
Post Date
2018-09-06