DA International Financial Service Limited is a financial service corporation. With our strong financial background and connections, and the aggressive attitude of our management team, we will continue to expand in a fast pace. To achieve our goals, we invite high caliber candidates to share with us...

DA International Financial Service Limited is a financial service corporation. With our strong financial background and connections, and the aggressive attitude of our management team, we will continue to expand in a fast pace. To achieve our goals, we invite high caliber candidates to share with us and join for the following positions:-

Compliance Officer/Compliance Assistant

Job level Entry
Work exp Minimum 1 Year
Education Bachelor Degree
Location
Wanchai
Employment type Full Time
Benefits Dental plan, 5-day week, Medical plan, Performance bonus
Industry Financial Services / Investment / Securities
Job function Banking / Finance > Others
Published On 21/08/2019

Responsibilities:

  • Perform verification and KYC/AML process of account opening.  
  • Carry out client due diligence in order to ensure all submitted documents comply   with the internal standards and procedures as well as regulatory requirements.
  • Assist in undertaking investigations into any suspicious transactions.  
  • Ensure applicable registration/licensing requirements are complied with SFC.
  • Assist in establishing and carrying out all compliance functions to ensure the 
  • Company adhere to relevant legal and regulatory requirements.
  • Maintain and follow up on staff’s CPT attendance record and assist in providing
  • internal compliance training.  
  • Undertake ad-hoc projects as required.

 

Requirements:

  • Degree holder in Law, Finance, Economics or related discipline
  • Minimum of 1 years' working experience in compliance of securities and futures brokerage firms preferred.
  • Self motivated, hardworking, independent and meticulous.
  • Good interpersonal communication skills. Proficiency in both spoken and written         English and Chinese, fluency in Mandarin is an advantage.
  • Good command of Office software and other related computer skills.

 

Interested parties please click ” with full resume , current salary & expected salary  and date of availability.