ADMIS Hong Kong Limited is a leading futures and options broker for both individual and institutional investors in Asia. We have provided global commodity trading services to our clients in the Asian Pacific region for more than 20 years. We were given the "Best Futures Broker" award in the 2nd International...

ADMIS Hong Kong Limited is a leading futures and options broker for both individual and institutional investors in Asia. We have provided global commodity trading services to our clients in the Asian Pacific region for more than 20 years. We were given the "Best Futures Broker" award in the 2nd International Financial Annual Champion Awards by Hexun.

We are a wholly owned subsidiary of ADMIS Holding Company and our parent company, Archer Daniels Midland Company (ADM), is a world leader in agricultural processing and fermentation technology, and one of the constituent stocks in the S&P 500. Headquartered in Decatur, Illinois, ADM has over 31,000 employees serving customers in more than 170 countries, with net sales of US$60.8 billion (Fiscal year 2017)

To cope with our recent expansion, we are seeking initiative and high caliber individuals to expand our business in the region.

 

Compliance - Senior Associate And Assistant Manager

Job level Middle
Work exp Minimum 2 Years
Education Bachelor Degree
Language Chinese - Cantonese, Chinese - Mandarin, English
Location
Quarry Bay
Employment type Full Time
Benefits 5-day week, Dental plan, Discretionary bonus, Insurance plan, Maternity leave, Medical plan, MPF, Paternity leave
Industry Financial Services / Investment / Securities
Job function Banking / Finance > Legal / Compliance
Banking / Finance > Others
Legal / Professional Services > Others
Published On 18/09/2019

Responsibilities:

  • Conduct client onboard review, transaction monitoring, trading surveillance and due diligence checking
  • Perform KYC/AML checks and ongoing AML/CTF screening and monitoring
  • Handle licensing matters and inquiries from SFC and overseas regulators
  • Provide AML and Compliance advice to related internal parties on existing and new regulation requirement and implement action plan
  • Assist in handling daily compliance tasks
  • Review and ensure the operational procedure comply with rules and regulations
  • Participate in ad hoc projects

 

Requirements:

  • Degree holder in Law/Accounting/Finance or other related disciplines
  • Relevant working experience in compliance field, ideally over 2 years experience, exposure on SFC Type 2 licenses is a must
  • Familiar with SFC rules and regulations, knowledge of overseas compliance requirements will be a definite advantage
  • Strong reading and writing skills, with ability to interpret the rules correctly and suggest action plan to satisfy compliance requirements
  • Excellent commend in both spoken and written English and Chinese
  • Detail-oriented and have good sense of confidentiality