Senior Compliance Officer / Compliance Manager – Investment Group recruitment
The Company
Our client is a leading international Investment group with Asset Management, Brokerage, Securities and Corporate Finance licenses. They are currently seeking an experienced Compliance Officer to join their growing venture. This is an excellent stepping stone into a large financial planning organisation, with the potential to build a career within the well respected compliance function.
The Role
• Handling SFC's enquiries;
• Reviewing marketing materials;
• Contributing to the design, implementation and on-going improvement of compliance manuals, policies, procedures and systems;
• Assisting in reviewing and analysing changes to legislative requirements and their effect upon business practices and assist in the implementation of these changes;
• Educating members of staff on compliance awareness and conducting compliance training; and
• Assisting in other ad-hoc duties.
Your Profile
As the successful candidate, you will be a degree holder in Finance/Law. You must have at least 4 years' Compliance/Legal working experience within a financial institution. Experience in relation to securities, brokerage, asset management or fund house is preferred. You will have strong interpersonal and communication skills. Fluency in English and Cantonese a must, ability to speak other languages is a plus.
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted.