Temporary Compliance Officer (1-year contract) (Ref : SEGL/CPL-P567) recruitment
Main responsibilities• Licensing: responsible for exam enrolment, staff’s registration and maintaining / updating licensed individuals’ records, process license applications, follow up licensed staff’s CPT and annual return status• Personal Account Dealing/Outside Directorship Reporting: record keeping and documentation• Co-ordinate and prepare Compliance trainings• Assist in review of Marketing materials, disclaimers• Assist in performing compliance monitoring• Maintain and update regulatory information, rules and requirements• Provide general administrative and clerical Read more […]
October 3, 2011
• Tags: Compliance, CPL-P567) recruitment, Legal careers in the Hong Kong SAR, Temporary Compliance Officer (1-year contract) (Ref : SEGL • Posted in: Financial • Comments Off on Temporary Compliance Officer (1-year contract) (Ref : SEGL/CPL-P567) recruitment