Brokerage Compliance Officer recruitment
Responsibilities:
- Handle various regulated activities license application with the SFC
- Ensure compliance with all laws, rules regulations set forth by the SFC
- Advise the Company on the internal and regulatory compliance issues relevant to the securities industry
- Perform AML/KYC checks
- Handles employee licensing matters
- Ensure that the firm's policies, procedures and practices are in compliance with all applicable laws and regulations.
- Contribute to the design, establishment, implementation, and revision of compliance systems, polices and procedures.
- Perform regular and ad hoc monitoring reviews for compliance
Requirements:
- Degree holder in Business / Law / Accounting or any such related disciplines
- At least 5-7 years working experience, with most recent experience in the compliance field, ideally from the brokerage industry
- Knowledge of relevant products, especially futures and options
- Strong knowledge of the Hong Kong regulatory environment
- Strong understanding of control and risk management concepts
- Ability to multi-task
- Strong work ethic and able to work independently
- Fluent English and Chinese (ideally including Mandarin)
If you are interested in this role, please send your CV to Jyoti Golchha at jgolchha@morganmckinley.com.hk
August 6, 2012
• Tags: Brokerage Compliance Officer recruitment, Compliance, Legal careers in the Hong Kong SAR • Posted in: Financial