About this employer We are a member of Sinolink Securities Co., Ltd (國金證券股份有限公司), one of the leading comprehensive financial services group listed on Shanghai Stock Exchange (Stock code: 600109). We are well known for providing high-quality corporate finance, asset management and...
About this employer

We are a member of Sinolink Securities Co., Ltd (國金證券股份有限公司), one of the leading comprehensive financial services group listed on Shanghai Stock Exchange (Stock code: 600109). We are well known for providing high-quality corporate finance, asset management and brokerage services to global and local institutional and corporate clients We now invite high caliber professional to fill in the following positions:

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Compliance Officer

Job level Entry
Work exp Minimum 2 Years
Education Bachelor Degree
Location
Within Hong Kong
Employment type Full Time
Industry Financial Services
Job function Sales / Business Development / Customer Service > Others
Published On 04/09/2018

 

Key Responsibilities

  • Handle regulatory procedures in dealing with external regulatory institutions, e.g. licensing matters, notification, annual return and survey as required by the regulators
  • Undertake regular compliance monitoring reviews such as trade monitoring, client account opening, CPT record 
  • Conduct orientation and refresher training on AML Provide general support to the team and perform other ad hoc duties as assigned

Requirements

  • Degree holder in Economic / Accounting / Law or other related disciplines 
  • Minimum of 2 years of compliance experience in Securities / Futures brokerage / Asset Management / Corporate Finance industry Knowledge in SFC, HKEx regulations and other regulatory requirements Knowledge of FATCA, CRS and other relevant regulatory requirements will be advantage
  • A team player with strong communication and analytical skills  
  • Strong command of both written and spoken English, Mandarin and Cantonese.

 

 

 

Interested parties please send your full resume by clicking .