Recruit Magnet Limited is a recruitment services company based in Hong Kong. We provide the best-in-class talent acquisition focusing on the Banking and Finance sector.

Recruit Magnet Limited is a recruitment services company based in Hong Kong. We provide the best-in-class talent acquisition focusing on the Banking and Finance sector.

Compliance, Securities

Job level Middle
Work exp Minimum 5 Years
Language Chinese - Cantonese, Chinese - Mandarin, English
Location
Central
Employment type Permanent
Benefits 5-day week, Dental plan, Discretionary bonus, Medical plan
Industry Financial Services / Investment / Securities
Job function Banking / Finance > Legal / Compliance
Published On 17/06/2019

Our clients is a securities house with type 1, 4, 9 licenses

 

Job Responsibilities: 

  • Act as Compliance Manager, Anti-Money Laundering Officer, and Money Laundering Reporting Officer in accordance with the requirements and regulations relating to the relevant Ordinances;
  • Direct reporting to the Chairman & CEO of the Group Companies in all kinds of corporate matters.
  • Responding all enquiries about legal and compliance matters within the Group Companies and the relevant competent authority as well as the external lawyers and SFC
  • Maintain an effective compliance function, to monitor compliance with its own internal policies and procedures, and all applicable legal and regulatory requirements
  • Ensure that its compliance function possesses the technical competence, adequate resources and experience necessary for the performance of its functions
  • Ensure that its compliance function is independent of other business functions and reports directly to the management board of the Company
  • Provide the internal staff training in accordance with relevant SFO, SFC’s Rules and Regulations and relevant Compliance Manual by way of CPT Training. Keeping track of the training and, with the help of the team, conducting checks to ensure procedures are being understood and followed
  • Drafting, amending, training and implementing local procedures and policies including but not limited to Compliance Manual and AML Guideline, and reviewing and amending the Internal Control Operation Guideline from time to time


Requirements:

  • Degree holder in Finance, Accounting, Law, Business, Economics or other related disciplines
  • At least 5 years relevant working experience in Financial Services
  • Familiar with Securities and Futures Ordinance and applicable statutory and regulatory requirements
  • Fluent in English, Mandarin and Cantonese
  • Independent, self-initiative and good interpersonal skills
  • Immediately available is an advantage

 

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