Job Description
About Our Client
My client is a growing securities firm with SFC license type 1,2,4, 6 and 9 and they are looking for a compliance officer/analyst.
About The Role
- Handle general enquiries from SFC, HKEx and other regulators;
- Coordinate and liaise with regulators and frontline staffs on all licensing matters;
- Perform compliance monitoring such as declaration of staff dealing and fulfillment of CPT requirement;
- Facilitate the regulatory inspection and prepare documents/responses as required;
- Conducting trading compliance surveillance;
- Undertake other ad hoc projects as required.
Requirements
- Bachelor's degree in Law, Corporate Governance, Finance or Accounting or other related disciplines;
- 2-3 years or above relevant experiences in securities firm or financial institution;
- Experience in AML, fintech, finance, data privacy, legal, compliance and / or the relevant fields would be a plus;
- Knowledge with SFC's regulation is preferable
- Strong command of both written and spoken English and Chinese is a MUST;
- Proficiency in Microsoft Office and Exchange
- Detail-oriented and highly motivated mindset
Click "Apply Now" to apply for this position or call Jessie Chan at +852 3180 4945 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.
