SCK Securities Limited is a licensed corporation registered by the Securities and Futures Commission. To cope with our expansion, we are now looking for a high-caliber candidate to join our team.

SCK Securities Limited is a licensed corporation registered by the Securities and Futures Commission. To cope with our expansion, we are now looking for a high-caliber candidate to join our team.

Compliance Officer

Job level Middle
Work exp Minimum 2 Years
Education Bachelor Degree
Location
Sheung Wan
Benefits 5-day week, MPF, Performance bonus
Industry Financial Services / Investment / Securities
Job function Banking / Finance > Legal / Compliance
Published On 09/12/2019

Responsibilities

  • To maintain regulatory relationships; assess, measure and report on compliance related risks; monitor and test the adequacy of the firm’s compliance control environment and to develop policies and controls
  • Assisting the AML Compliance Team for the advising on all AML/KYC issues in response to the new law, e.g. client on-boarding, negotiation with clients on business terms, and advising the management on various ad-hoc clients’ request and business initiatives
  • Assisting in performing risk reviews, remediate gaps, design solutions, and assist in managing projects to ensure a compliant outcome.
  • Assisting in perform AML compliance monitoring and surveillance programs.
  • Assisting in handling regulators enquires
  • Assisting in advising and directing businesses and stakeholders on the implementation of adequate procedures and controls.
  • Assisting in undertaking investigations into any suspicious transactions reported internally and by clients.
  • Assisting in supporting other compliance team for CSB compliance matters

 

Requirements

  • Preferably a degree holder in Law, Accounting or related discipline applicable to finance and/or regulation, but not essential.
  • Minimum 2 years compliance experience in a sizable financial institutional would be ideal.
  • Knowledge of securities laws, finance, operations, products and services would be advantageous.
  • Articulate and able to demonstrate interest in working within Compliance and regulation of the financial industry.
  • Bright and energetic, willing to learn and enthusiastic to join a growing investment bank.
  • Self-motivated, well-organized and presented, independent and pleasant personality with good communication skills at all level.
  • Good command of written and spoken English and Chinese (including Putonghua).

 

We offer an attractive remuneration package and excellent career prospects to qualified candidates. Interested parties, please send full resume with expected salary and available date by clicking  

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