Compliance Officer- $60K/ month recruitment
The Company
Due to business growth an opportunity has arisen to join that team as a Compliance Officer. The company continues to break new grounds in advising the clients on strategic transactions, pioneering the global expansion of finance and capital markets, and providing new opportunities for individual and institutional investors.
The Role
The successful candidate will be primarily responsible for providing compliance coverage for the HK PWM business, but will also have the opportunity to drive projects. In addition the individual is responsible for:
- Dealing with counterparts in PWM compliance within Asia and in other regions
- Coordinating closely with different federation departments across the firm such as other Compliance functions, Legal, Internal Audit and Operations
- Addressing day-to-day questions and issues that arise in the PWM business
- Analysis on trends and patterns through daily and periodic surveillance
- Assessing suitability of trades and products
- Developing and providing training on relevant policies and procedures in compliance with relevant regulations and firm policies/initiatives
Your Profile
To be a successful candidate, you will require:
- University degree holder/relevant professional or industry qualification
- At least 3-5 years relevant experience; preferably in compliance/control function
- Regulatory/litigation/auditing background will also be considered
- Experience in surveillance and product knowledge, particularly derivatives, is an advantage
- Good understanding of the regulatory framework for the private client business
- Excellent interpersonal skills and ability to work effectively in a team-oriented setting, prioritize projects to meet tight deadlines
- Must be fluent in English and Cantonese.
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted.