Our client, a H.K. Listed financial institution, is inviting experienced professional
to join the team.
- Identify any gap between internal policies and procedures and new regulatory requirements
- Conduct regular compliance reviews in relation to securities trading /transactions
- Handle enquiries from regulatory
authorities or any investigations
- Review and update Compliance
Policies and Procedures to ensure adhere to applicable regulations
- Perform AML/KYC/CDD review on account opening
- Work with internal parties to facilitate regulatory examinations, questionnaires, surveys, investigations and other regulatory requirements
- Provide advice on sale and marketing materials,
products, training materials from compliance perspective
- Prepare training materials to promote compliance awareness among the colleagues
- Bachelor or above with major in Economics, Risk Management, Accounting, Finance, or related subject
- 3-5 years experience in compliance in financial industry (Securities/Asset Management/ banks)
- Well-verse in SFC /HKMA regulatory requirements
- Analytical with attention to details
- A team player, able to work independently and self-motivated
- Good command of both written and spoken English and Chinese (including Mandarin)
Interested candidate(s) please send in your full resume, stating current and expected salary, and availability in
Word Document format to us.
collection statement can be found in our website. All information received will be kept in strict confidence and only for employment-related purposes.