· Chinese SFC license corporation/securities brokerage firm
· 1-3 years of relevant regulatory compliance experience
· IANG visa holder welcome, budget HKD20k per month
About the Company
Our client is a Chinese securities brokerage firm. Recently, they are looking for an Associate Regulatory Compliance Officer to join their Compliance Team in Hong Kong.
About the Role
· Handle and liaise with SFC on licensing matters and other enquiries
· Implement and manage new compliance program for business checking.
· Advise management on the company's compliance with regulations through detailed reports.
· Assess company operations to determine compliance risk.
· Handle and review all enquiries raised by clients regarding client onboarding
The successful Applicant
· Degree in Finance, Accounting or other applicable fields.
· 1-3 years of relevant regulatory compliance experience in Securities Brokerage firms.
· Experience with compliance review in AML, brokerage.
· Good communication skills and organizational ability.
· Fluent in English, Cantonese and Mandarin.