QMIS Financial Group headquartered in Hong Kong and with branches in China, Taiwan, US, Singapore and Malaysia. Allied with the elites in different areas, specialize in investment banking, private banking, wealth management consultant, securities dealing, private equity fund, asset management, venture...

QMIS Financial Group headquartered in Hong Kong and with branches in China, Taiwan, US, Singapore and Malaysia. Allied with the elites in different areas, specialize in investment banking, private banking, wealth management consultant, securities dealing, private equity fund, asset management, venture capital, corporate M&A, legal advisors, accounting, financing and trust management, to form a professional management team.The group will focus in Greater China area, and to be a pioneer in Asia Pacific market. The Company is led by a team of passionate and energetic professionals. Talent is one of the most valuable assets for us. We are committed to develop human resources by placing the right candidates on the right positions. In order to enhance our overall core competitiveness and build up “The Best Investment Bank of China”, our Company strives to convert our human resources into human capital and have been providing the best nurture and career prospect to any talents. We now invite high calibre candidates to join us.

Compliance Officer (Securities and Asset Management)

Job level Entry
Work exp Minimum 2 Years
Education Bachelor Degree
Location
Within Hong Kong
Employment type Full Time
Benefits 5-day week, Medical plan
Industry Financial Services
Job function Banking / Finance > Dealing / Trading
Banking / Finance > Private Equity / Venture Capital
Banking / Finance > Risk Management
Published On 20/10/2018

 

Responsibilities: 

  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
  • Provide staff training related to compliance guidelines and requirements
  • Liaise with SFC and regulators for any inquiries and requests
  • Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML / PDD / KYC suitability policy
  • Keep abreast of new regulatory requirements published by SFC etc.

Requirements:

  • University degree in Law, Finance or related disciplines
  • Minimum 2 years of relevant experiences in financial industry
  • Good knowledge of the SFO and SFC codes and Guidelines
  • Detail-oriented, able to work independently and mature
  • Excellent written and spoken English, Cantonese and Mandarin

 

We provide attractive remuneration package and fringe benefits for the right candidate. Interested parties please send detailed resume with current and expected salaries to Human Resources Department by using

All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only. A copy of our Personal Information Collection Statement will be available upon request.