Compliance Associate recruitment
Compliance Associate
- Provide support to the business on regulatory compliance matters, raising issues to Senior Management and implementing corrective action plans, in particular to brokerage and investment banking businesses;
-Participate in new product development and ensure that new product conform to regulatory and internal compliance policies;
-Monitor new account opening procedure KYC review;
-Perform Control Room function in relation to investment banking and research businesses;
-Review policies and procedures prepared by other departments and provide input to ensure compliance with applicable legal and regulatory requirements;
-Advise management and business units on all compliance-related issues arising from business operations;
-Perform ad-hoc compliance projects.
Requirements:
-Ideal candidates shall be graduated from a reputable university with degree in Finance, Accounting, Law or other related areas.
-With over 2-3 years of working experience in compliance functionality in major financial institutions or regulatory authorities.
-Excellent communication skills and working on own initiative.
-Good command of Mandarin will be a plus but not a must.
Qualfied interested candidates should submit their updated CV via this online application or call +852 2232 3431 for a confidential discussion today. Please note that only shortlisted applicants will be contacted.