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Senior Compliance Officer

Hong Kong, Hong Kong
Last update 2024-04-19
Expires 2024-05-19
ID #2098344080
Free
Senior Compliance Officer
Hong Kong, Hong Kong,
Modified April 2, 2024

Description

Responsibilities: Handle SFC licensing matters including but not limited to delisting or relisting applications; Perform compliance control and monitoring programs including but not limited to control room, AML checking, and trade surveillance; Handle the third-party and VIL deposit and withdrawal applications of the business units and perform the checking on the supporting documents and authorization relationships; Assist in handling investigations and surveys received from regulators; Handle other compliance matters / ad hoc matters assigned by the Legal & Compliance Department.

Requirements: Degree holder in Business Administration, Risk Management, Law or related disciplines.

Possesses knowledge in SFC rules and regulatory requirements ; Minimum 3 years of compliance experience in financial institutions or professional services firms; Self-motivated, independent, meticulous, analytical and responsible; Strong organizational skills and ability to multi-task and work under pressure; Proficiency in written and spoken English and Chinese, and Fluency in Mandarin is preferred.

Job details:

Job type: Full time
Contract type: Permanent
Salary type: Monthly
Occupation: Senior compliance officer

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