Compliance Manager / Compliance Officer

  • Negotiable
  • Hong Kong
  • Festanstellung, Vollzeit
  • Oceanwide Securities Company Limited
  • 07 Nov 17 2017-11-07

Compliance Manager / Compliance Officer

Compliance Manager

Job Responsibilities: 

 

  • Lead a compliance team designated for the Group's securities business engaged in Types 1, 2, 4, 6 and 9 regulated activites
  • Prepare licence applications for the company, responsible officers and licensed representatives
  • Carry out regular monitor of trading and settlement activities to identify potential non-compliance incidents and irregularities (including but not limited to staff misconduct, money laundering and market misconduct) for further investigation and filing of suspicious report
  • Review product due diligence, client suitability, marketing and disclosure issues arising from distribution of various investment products
  • Review error incidents and customer complaints to identify underlying problems and remedial actions
  • Handle regulatory enquiries, inspections and investigations
  • Design and deliver compliance trainings for front and back office staff

Job Requirements:

  • Hold a university degree, post-secondary diploma or professional qualification, preferably in finance / accounting / business / legal disciplines
  • At least 5 years of compliance-related experience in the securities industry
  • Mature, responsible, independent and attentive to details
  • With excellent presentation, interpersonal and supervisory skills

 

Compliance Officer

Job Responsibilities: 

  • Processing licence applications for submission to regulatory bodies
  • Monitoring compliance with corporate finance policies and procedures, including but not limited to staff dealing rules, Chinese Wall system and placing guidelines
  • Handling information requests from regulatory bodies and auditors

Job Requirements:

  • Hold a university degree or post-secondary diploma, preferably in finance / accounting / business / legal discipline
  • At least one years of experience in the securities industry 
  • Mature,self-initiated and detailed-minded
  • Possess excellent communication and interpersonal skills

We offer attractive salary, benefits and 5-day workweek to the successful applicant.  Please send your resume with present and expected salary to the Group Human Resources Manager. (Please quote the job reference number on the email subject line.)

 

Personal Data collected will be used for recruitment purposes only.