Assistant Manager – Compliance

Silverbricks Securities Company Limited
Sheung Wan
Posted on 8-Sep-21

Assistant Manager – Compliance

Silverbricks Securities Company Limited

Job Highlights

  • AML/KYC
  • FATCA and CRS
  • financial statement and FRR

Job Description

To cope with our business expansion, we are looking for proactive professional to join our Group. 

Job Role Summary :

  • Provide advice and solutions for equities sales and trading, electronic trading and equities research.
  • Responsible for AML/KYC related matters, handle the regulatory enquiries and investigations when required.
  • Responsible for FATCA and CRS classification and reporting.
  •  Assist in the risk management framework development and implementation.

Responsibilities :

  • Assist in implementing the Compliance Strategy in HK and ensure company operations meet with the regulatory requirements.
  • Provide support in developing and reviewing the compliance policies and systems to be updated and meet regulatory requirements.
  • Provide advice and solutions for equities sales and trading, electronic trading and equities research.
  • Responsible for AML/KYC related matters, handle the regulatory enquiries and investigations when required.
  •  Responsible for FATCA and CRS classification and reporting.
  •  Perform periodic review of the internal policies and procedures, agreements, marketing materials, fund prospectus and product documents.
  • Lead the implementation and update the regional compliance manual including the update of company policy and local regulations.
  • Assist in the risk management framework development and implementation.
  • Support in compliance training and provide advisory to the new business activities and products.

Requirements : 

  • Degree holder or above in Law, Business, Finance or related disciplines.
  • At least 4 years relevant working experience in compliance within equities / professional firms.
  • Familiar with the SFC and HKEx rules and regulations and industry practices.
  • Knowledge in KYC, AML, CRS, FATCA and related issues.
  • Sound knowledge of financial products.
  • Independent and self-motivated with strong communication & analytical skills.
  • Excellent command in spoken and written English and Chinese.
  • Ability to navigate in a constantly changing environment under tight deadlines with a high level.
  • Intermediaries supervision and licensing issues is an advantage.
  • Strong problem-solving orientation. 
  • Computer skills, including Windows and MS Office programs. 
  • Good team player.
  • Organizational skills.
  • Leadership and coaching attributes.

We offer competitive remuneration package to the right candidates.  Interested parties please submit your resume (in both English and Chinese), with stating current and expected salary, availability, contact phone number by clicking “APPLY NOW”.

All applications and personal information collected will be treated in strict confidence and only be used for the purpose of recruitment and selection.  The information collected will be accessed by our authorized personnel only.  Unsuccessful applications will be retained for six months of possible future job matching, and will be destroyed after the expiry of six months.

Additional Information

Career Level
Middle
Qualification
Degree
Years of Experience
4 years
Job Type
Full Time

Company Overview

Silverbricks Securities Company Limited (hereinafter referred to as " Silverbricks Securities"), along with Silverbricks Asset Management Company (hereinafter referred to as " Silverbricks Asset Management"), are subsidiaries of Hong Huan Group, primarily engaged in the Securities and Asset Management business and licensed by the SFC for Type 1.4.9 regulated activities.

Silverbricks provides diversified financial services with all rounded products and service suite for institutional and retail clients. The main businesses include securities, futures, brokerage, asset management and corporate finance in the near future.

Silverbricks looks for talented people who will put the clients at the center of everything they do. Now an exciting opportunity has arisen for a high-calibre professional to join the dynamic team of Silverbricks for a rewarding career.

Additional Company Information

Industry
Financial Services
Benefits & Others
Medical insurance, Five-day work week