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 Read more […]
August 6, 2012
• Tags: Brokerage Compliance Officer recruitment, Compliance, Legal careers in the Hong Kong SAR • Posted in: Financial • Comments Off on Brokerage Compliance Officer recruitment