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 Middle
Work exp Minimum 4 Years
Education Bachelor Degree
Location
Sheung Wan
Employment type Full Time
Benefits 5-day week, Medical plan
Industry Financial Services / Investment / Securities
Job function Banking / Finance > Dealing / Trading
Banking / Finance > Private Equity / Venture Capital
Banking / Finance > Risk Management
Published On 07/09/2019

Responsibilities

  • Ensure company policies, internal control procedures & manuals are complied with regulatory requirements
  • Liaise with SFC, HKEx and other regulators for any inquiries and requests
  • Advise on compliance aspects relating to securities, corporate finance, licensing and related matters
  • Oversee and monitor CDD, AML and KYC functions
  • Monitor dealing and trading activities and perform trade surveillance
  • Provide staff training related to compliance guidelines and keep tracking of CPT hours for licensed persons
  • Assist in ad-hoc projects as assigned

 

Requirements

  • University degree preferably in law, finance, accounting or related disciplines
  • At least 4 years of solid working experience in compliance field preferably in sizable financial institutions such as investment banks
  • Sound knowledge of SFC regulations and guidelines
  • Experience in liaising with SFC and HKEx for license applications
  • Experience in handling IPO and financial advisory deals is an advantage
  • Familiar with compliance issues such as AML and KYC
  • Detail-oriented, mature and able to work independently
  • 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.