CASH Financial Services Group Limited ("CFSG"; SEHK: 510) is a leading financial services conglomerate in China, providing a comprehensive range of financial products and quality services that includes mobile and premium trading, investment banking, algo trading and corporate finance advisory, wealth...

CASH Financial Services Group Limited ("CFSG"; SEHK: 510) is a leading financial services conglomerate in China, providing a comprehensive range of financial products and quality services that includes mobile and premium trading, investment banking, algo trading and corporate finance advisory, wealth and asset management, alternative trading, etc. As a leading technology-focused financial services provider, coupled with our professional human talents, CFSG is committed to operating the state-of-the-art trading platform to provide our clients with instant market information while at the same time trade anytime, anywhere, borderless.

In view of our rapid expansion, we are searching for high calibre talents to join us.

Officer, Compliance

Job level Middle
Work exp 2 Years To 3 Years
Education Bachelor Degree
Location Sheung Wan
Employment type Full Time
Benefits 5-day week, Additional subsidies, Dental plan, Education subsidies, General holidays, Insurance plan, MPF, Maternity leave, Medical plan, Paternity leave, Statutory holidays
Industry Financial Services
Job function Legal / Professional Services > Legal & Compliance
Published On 14/10/2016
ref. S/LCM/0916

As our Officer, Compliance, you are mainly responsible for the licensing administration and internal audit function within the Group. You will be acting as an independent and objective administrator to review the daily trading activities of the Group, including conducting KYC and AML due diligence procedures.

You will also be responsible for licensing applications of our licensed persons and monitoring of the conduct of regulated activities by our licensed persons. Your work will also cover the continuous development of our training programs to licensed persons.

You will gain exposure to the rules, regulations and codes of the regulators, including the Securities and Futures Commission, Hong Kong Confederation of Insurance Broker and the MPFA. Opportunities to deal with regulators and handle their enquiries are plenty. This is a very good opportunity for compliance officer to gain more exposure and to accelerate further to understand compliance industry in the financial market.  


Requirements:

  • University graduate in finance, legal or other business related disciplines;
  • 2 - 3 years solid licensing administration, risk control, compliance or legal experience in financial services, insurances or banking industry. Familiar with SFO will be an advantage;
  • Able to identify potential risk; provide valid recommendations and preventive measures with excellent written English;
  • Efficient with good time management;
  • Mature, Independent, self discipline, proactive, able to work under pressure with good interpersonal skill;
  • Immediate availability is highly preferred.

*Candidate with less experience will be considered as Trainee or Assistant Officer, Compliance.

Please apply in confidence with full resume, current and expected salary, quoting reference no. S/LCM/0916 to the Human Resources Department, CASH Financial Services Group Limited, 21/F., Low Block, Grand Millennium Plaza, 181 Queen's Road Central, Hong Kong or email to cash-hr3@cash.com.hk.

The information provided will be used for selection purpose only. All information of unsuccessful applicants will be destroyed within six months.