Compliance, Securities/ Asset Management

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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.
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Hong Kong

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

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