Compliance Officer (securities Brokerage)-ew

Hong Kong, Hong Kong
Last update 2024-05-27
Expires 2024-06-27
ID #2016675952
Compliance Officer (securities Brokerage)-ew
Hong Kong, Hong Kong,
Modified February 3, 2024


Compliance Officer (Securities Brokerage)-EW Client Description Our client is a renowned listed securities brokerage company. To cope with continues growth they are now urgently looking for a Compliance Officer to join the team in Hong Kong Job Description Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies Provide staff training related to compliance guidelines and requirements Liaise with SFC 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 and FATCA etc. Job Requirements Degree in Law, Finance or related disciplines At least 3 years of relevant experiences in financial industry (securities firm preferred)Good knowledge of the SFO and SFC codes and Guidelines Detail-oriented, mature and able to work independently

Job details:

Job type: Full time
Contract type: Permanent
Salary type: Monthly
Occupation: Compliance officer (securities brokerage)-ew

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