Job Description
About The Client
My client is a leading investment bank which provides a wide range of financial services including securities brokerage, corporate finance and asset management to domestic and international clients. They are seeking for a committed and high calibre candidate with 1-3 years of experience to join their Regulatory Compliance team.
About The Role
- Coordinate and liaise with regulatory authorities on enquiries, reporting, inspection or investigation
- Undertake regular compliance monitoring reviews
- Monitor the trading patterns of the targeted SFC license representatives
- Response to the enquiry of the clients
- Identify, pursue and generate new potential compliance risks
- Keep track of regulatory requirements, review and update internal control policies
Requirements
- Degree in Law, Finance, Business, or relevant field
- At least 1 to 3 years of relevant experience in Securities companies or IBank
- Ability to organize well, attend to details, work under pressure
- Positive attitude with good interpersonal and communication skills
- Proficiency in written and spoken English and Chinese (including Cantonese and Mandarin)
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.
