Zhong Jia Securities is an Exchange Participant of the Stock Exchange of Hong Kong Limited (Broker No.1035) and a Licensed Corporation (CE No. BHO840) with the Securities and Futures Commission in respect of carrying out the regulated activity of Dealing in Securities (Type 1).

Zhong Jia Securities is an Exchange Participant of the Stock Exchange of Hong Kong Limited (Broker No.1035) and a Licensed Corporation (CE No. BHO840) with the Securities and Futures Commission in respect of carrying out the regulated activity of Dealing in Securities (Type 1).

COMPLIANCE OFFICER / COMPLIANCE MANAGER

Job level Middle
Work exp Minimum 3 Years
Education Bachelor Degree
Location
Southern District
Employment type Full Time
Benefits 5-day week
Industry Financial Services / Investment / Securities
Job function Legal / Professional Services > Legal & Compliance
Banking / Finance > Risk Management
Published On 09/05/2020

 

RESPONSIBILITIES

l   Responsible for handling SFC enquiries and other licensing matters;

l   Liaise with regulatory authorities in relations to rules update or related requirements;

l   Review and update compliance policies and procedures in alignment with latest regulatory requirements;

l   Assist with regulatory inspection and prepare documents required by the SFC;

l   Perform other compliance tasks including Licensing and AML/KYC related matters;

l   Assist in drafting and reviewing agreements and other relevant documents;

l   Track regulatory guidelines/circulars and coordinate with internal stakeholders on implementation plans;

l   Conduct regular compliance checks; and monitor policies’ implementation with regards to updated regulatory requirements;

 

Requirement

l   Undergraduate Degree in Law, Accountancy, Finance, or related disciplines preferred;

l   At least 3 years of experience in compliance preferably with a licensed corporation with SFC Types 1, 4 licenses;

l   Sound knowledge of SFO and other relevant codes and regulations from various regulators e.g. SFC, HKEX, Companies Registry, etc.;

l   Detail-oriented and highly motivated mindset;

l   A team player with strong communication and analytical skills;

l   Strong command of both written and spoken English and Chinese;