AGS Group (AGS) is a privately owned executive search firm. Our Top 10 Clients are all Fortune 500 companies in Asia Pacific and US. Out of our clients, most of them are from the consumer industry, which includes FMCG, retail, hospitality, property and the financial services sector and the industrial...

AGS Group (AGS) is a privately owned executive search firm. Our Top 10 Clients are all Fortune 500 companies in Asia Pacific and US. Out of our clients, most of them are from the consumer industry, which includes FMCG, retail, hospitality, property and the financial services sector and the industrial sector. Other major sectors include technology and pharmaceuticals.

AGS focuses to build "depth" with clients, working with them in more locations and more levels in their organizations, anchored on a give-and-take approach and unrelenting commitment to put clients' interest ahead of ours. We have proved to be efficient since we know the market better: Our number of days to complete assignments is much shorter than that of other international search firms.

To learn more about our recruitment services, please visit our company website: www.agsgroup.com.hk

Compliance Officer (Brokerage securities)

Job level Middle
Work exp 2 Years To 15 Years or above
Education Bachelor Degree
Language Chinese - Cantonese, Chinese - Mandarin, English
Location
Within Hong Kong, Hong Kong Island
Employment type Full Time
Benefits 5-day week, Competitive pay, Discretionary bonus
Industry Financial Services
Job function Legal / Professional Services > Legal & Compliance
Published On 04/12/2018
ref. BY/CO

Job duties:

  • Ensuring the compliance policies are properly developed, monitored & complied with relevant regulations and legislation in respect of the regulated activities under the SFC license type 1, 2, 4, 5 & 9.
  • Liaising with regulators, auditors and legal counsel on compliance matters.
  • Handling enquiries from regulators or regulatory bodies.
  • Monitoring the internal control systems and able to assess the risk associated with it.
  • Monitoring the trading activities (securities, futures, stock options etc) to avoid occurrence of irregularities.
  • Reviewing and updating compliance manual and operational procedural manuals

 

Requirements:

  • Degree holders in Accounting, Law or Finance or related disciplines.
  • Minimum 2 years legal and compliance experience in the financial services industry.
  • Good knowledge in SFO, Exchange rules, AMLO, relevant codes & regulations.
  • Good knowledge of the securities and futures market.
  • Strong sense of responsibility, and self-motivation.
  • Good communication and interpersonal skills.
  • Good command of written & spoken English and Chinese.
  • Immediately available is preferred.

Interested candidates please send your CV by clicking