Compliance, Securities/ Asset Management

Salary : $420000 - $540000
Location : Central and Western District
Post Date :

Description :

The Company

Our client is a financial group with stable global presence and a direction to expand their business. You will be joining a talented group of professional to provide advice and support on full spectrum of compliance functions in securities and asset management business.

The Role

As a direct reporter to the Managing Director you will serve as a compliance expert to perform well-rounded compliance tasks for the group.

  • Review and enhance compliance policies and procedures to ensure regulatory requirements
  • Provide compliance advisory to business units
  • Conduct compliance monitoring/ review on client due diligence under the local AML and CTF guidelines
  • Handle licensing matters and enquiries by regulators
  • Handle and investigate on complaint cases and provide appropriate solutions
  • Provide compliance training to internal staffs
  • Handle company secretary tasks and company registry

Your Profile

  • Degree holder in Accounting or Law, with relevant professional qualifications
  • Minimum 3 years of compliance experience in relevant financial industries
  • Familiar with SFC codes and guidelines and Securities and Futures Ordinance
  • Solid exposure in handling enquiries from regulators such as SFC
  • Analytical and detail-minded, with great communication skills
  • Excellent command in spoken and written English and Chinese

Apply Today

  • To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
By applying to this job you are agreeing to our Terms of Use
Print

Hong Kong

21st Floor, Nexxus Building,
41 Connaught Road,
Hong Kong
Phone : +852 3653 7300

Similar Jobs