Senior Compliance Officer- $60-90K X 12 recruitment
The Company
This brokerage/ securities firm is a market leader with a strong presence in China and is currently looking for a Senior Compliance Officer to manage/ supervise its team of 3. This is a great opportunity to work in a stable, reputable and recognised company.
The Role
Reporting to the Head of Legal Compliance, you are responsible to:
- Provide support to the business on regulatory compliance matters
- Promote compliance awareness and compliance culture of the Group including development and delivery of compliance trainings
- Implement action plans, in particular to brokerage and investment bank businesses
- Staff dealing monitoring
- Ensure that new products conform to regulatory and internal compliance policies
- Monitor new account opening procedure KYC review;
- Develop and reviews compliance policies and guidelines
- Perform Control Room function in relation to investment banking and research businesses
- Advise management and business units on all compliance-related issues arising from business operations
- Review policies and procedures
- Work closely with business, back office, front office, auditors and regulatory authorities on compliance issues
Your Profile
The individual will require:
- Degree holder in Law, Finance, Accounting or related disciplines
- Minimum 6 years of relevant experience, preferably in financial institutions such as Brokerage/ Securities/ Investment Banks
- In depth knowledge in SFC rules and has experience working with them
- Fluency in written and spoken Chinese and English
- Excellent communications and interpersonal skills
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted.
July 1, 2012
• Tags: Compliance, Legal careers in the Hong Kong SAR, Senior Compliance Officer- $60-90K X 12 recruitment • Posted in: Financial