Hantec Securities Co., Limited, a member of Polytec Group, with its business covering in local brokerage services includingtrading and advising on securities, share margin financing, IPO financing and fund raising services related to equity capital market such as underwriting and placement of securities....

Hantec Securities Co., Limited, a member of Polytec Group, with its business covering in local brokerage services includingtrading and advising on securities, share margin financing, IPO financing and fund raising services related to equity capital market such as underwriting and placement of securities.  In cope with our expansion, we now invite experienced and professional candidate to join us for a challenging career in our growing team.

MANAGER AND SENIOR OFFICER, RISK MANAGEMENT AND COMPLIANCE (2 POSTS)

Job level Senior
Work exp Minimum 10 Years
Education Bachelor Degree
Location Hong Kong
Employment type Full Time
Industry Financial Services
Job function Legal / Professional Services > Legal & Compliance
Banking / Finance > Legal / Compliance
Banking / Finance > Risk Management
Published On 06/01/2017

Responsibilities:

  • Advise the business on regulatory and compliance issues
  • Perform compliance and/or risk management projects.  Establish proper controls, policies and procedures to ensure compliance with internal and external regulatory requirements; review policies and procedures prepared by other departments and provide input to ensure compliance with applicable legal and regulatory requirements
  • Conduct regular compliance reviews and checking on client due diligence, account opening, staff dealing, individual and corporate licensing.  Monitor portfolio trading activities to ensure compliance with rules and regulations, including trade monitoring and surveillance
  • Develop and implement risk assessment program to manage and monitor key business and operational risk; prepare relevant reports for senior management review
  • Promote compliance awareness and culture of the Company, including development and delivery of compliance trading
  • Perform ad hoc duties assigned

Requirements:

  • Degree in Finance or Law related disciplines
  • Minimum 10 years' relevant experience in risk and compliance management, exposure in securities industry is a must
  • Sound knowledge of Securities products, the relevant SFC ordinances and related regulations
  • Good analytical, communication and interpersonal skills
  • Strong PC skills in Microsoft Office (including Excel, Access and Word)
  • Good communication and writing skills in both English and Chinese
  • Candidate with less experience will be considered as Senior Officer

We offer an attractive remuneration package and excellent career prospects to the right candidate. Interested parties are invited to send their applications with a cover letter quoting job reference number and full resumes stating career history, qualifications, availability, current and expected salary, and contact telephone number to hr-pa@polytec.com.hk

Applicants not invited for interview within two months may consider their applications unsuccessful. All personal data provided will be kept in strict confidence and only for employment purposes.