RECRUITPRO CONSULTANCY HONG KONG LIMITED
Compliance Officer - securities firm
Job Details
Company Overview
Compliance Officer
Duties:
- Liaise with HKEX, SFC and other regulatory organizations for all compliance and licensing matters;
- Plan and conduct regular audits and investigations to ensure the fulfillment of regulatory compliance with Securities and Futures Ordinance and other relevant rules and regulations;
- Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML / CTF / KYC risk management
- Formulate and execute policies and procedures to perform risk management for the Company business
- Provide day to day regulatory advice and guidance on rules and internal policies
- Keep abreast of updated regulations and provide advice to business departments on compliance related issues;
- Undertake ad hoc assignments or projects as required.
Requirements :
- Degree or above in Accounting, Law, Finance or any other related disciplines;
- 2 years or above solid related working experiences in securities firms
- Knowledge on SFC & HKEX rules and regulations is a MUST
- Excellent presentation skills and strong in problem solving and analytical skills;
- Good at both written and spoken English and Chinese (Mandarin)
Additional Information
Work Exp
2 Years - 15 Years or above
Education
Bachelor Degree
Employment Type
Full Time
Location
Within Hong Kong
Job Level
Middle
Published On
20/3/2017
Skill
SFC
,
HKEX
,
AML
,
CTF
,
KYC
...
+
Benefits
5-day week
,
Competitive pay
,
Discretionary bonus
,
MPF
Languages
Chinese - Cantonese
,
Chinese - Mandarin
,
English
Job Function
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Compliance Officer - securities firm
RECRUITPRO CONSULTANCY HONG KONG LIMITED
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