Officer/AM/Manager, Compliance | Fintech/Investment Bank/Securities Firm Officer/AM/Manager, Compliance |  …

Be Myjob Company Limited
in Hong Kong
Festanstellung, Vollzeit
Letzte Bewerbung, 05 Dez 20
Negotiable
Be Myjob Company Limited
in Hong Kong
Festanstellung, Vollzeit
Letzte Bewerbung, 05 Dez 20
Negotiable
Gepostet von:
Kammy Lam • Recruiter
Gepostet von:
Kammy Lam
Recruiter
General Compliance/AML/Licensing/Regulatory Officer to Manager grade

Responsibilities

  • Conduct compliance reviews, risk monitoring reviews and internal control reviews to ensure the daily operation complies with company's policy and SFC regulation
  • Review compliance documentation and work closely with regulator, internal departments and legal council 
  • Provide compliance training and promote compliance awareness among the staffs
  • Supervise junior staffs of the department

Requirements

  • Degree Holder in Legal, Accountancy or any related disciplines
  • 3 years + experience in compliance, preferably from sizable securities firm / investment bank / SFC / Fintech
  • Strong product knowledge of different investment products, e.g Equity, Bonds, Fund, Structured Product etc.
  • Good communication skills, with proficiency in Cantonese, English and Mandarin
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