This job is expired.


Officer - Employee Compliance

Hong Kong, Hong Kong
Last update 2024-05-27
Expires 2024-05-27
ID #2099272502
Officer - Employee Compliance
Hong Kong, Hong Kong,
Modified April 3, 2024


Job Responsibilities: Facilitate and monitor compliance with the firm's Code of Conduct and other core compliance policies.

Review employee disclosures, personal account dealings, and gifts and entertainment requests to identify potential conflicts of interest.

Serve as the primary point of contact for general compliance inquiries from employees.

Assist with licensing, examination, and registration filings with regulatory authorities.

Monitor compliance with applicable securities laws and prepare reports for senior management.

Job Requirements: Bachelor's degree with 5+ years of experience in the financial services sector, preferably in a licensing, employee compliance, and registration role.

Exposure to gifts and entertainment is beneficial.

Ethical and principled with strong integrity.

Excellent analytical skills and attention to detail.

Proficiency in English (Chinese language skills are a plus).

Job details:

Job type: Full time
Contract type: Permanent
Salary type: Monthly
Occupation: Officer - employee compliance

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