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Compliance Officer / Senior Officer

Hong Kong, Hong Kong, Hong Kong Island
Last update 2024-12-04
Expires 2025-01-04
ID #2015781116
600,000 HK$
Compliance Officer / Senior Officer
Hong Kong, Hong Kong, Hong Kong Island,
Modified February 2, 2024

Description

Our client is a renowned financial services group. To cope with continues growth in securities and futures division they are now urgently looking for a Compliance Officer / Senior Officer to join the team in Hong Kong Job Description Ensure company policies, internal control procedures and manuals are up-to-date with regulatory requirements and monitor adherence with these policies Maintain Continuous Professional Training records of licensed representatives Liaise with SFC, HKEX and regulators for any inquiries and requests Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML / PDD / KYC suitability policy Keep abreast of new regulatory requirements published by SFC, etc. Develop, draft and review a broad range of legal documents, announcement, notice, board resolutions, shareholders resolutions and company secretary documents Job Requirements University degree in Law, Finance or related disciplines Minimum 2 years of relevant experiences from securities firms Good knowledge of the SFO and SFC codes and guidelines Detail-oriented, able to work independently and mature Excellent written and spoken English and Chinese (Cantonese)
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Job details:

Job type: Full time
Contract type: Permanent
Salary type: Per annum
Occupation: Compliance officer / senior officer
Min. Salary: 400000

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