Compliance, Securities/ Asset Management
Location : Central and Western District
Post Date : 08 September 2017
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.
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
- 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
- To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
41 Connaught Road,