General Compliance Specialist
ConnectedGroup
- Hong Kong
- Permanent
- Full-time
- Managing HKMA/ SFC license application and ensuring all licensed staff meet relevant ongoing obligations.
- Administering the Personal Account Dealing Policy, managing new hire disclosures, answering queries and appropriately handling breaches.
- Coordinating and monitoring the compliance training program, and maintaining internal and external records across all employee compliance areas.
- Monitoring employee e-communication and phone recordings.
- Identifying processes in need of improvement and designing and implementing solutions.
- University graduated in Finance, Business Administration or relevant disciplines.
- Enthusiastic about evaluating processes, proposing improvements, and managing the whole process of projects.
- Eager to learn about new technology and vendor systems, and able to communicate effectively with the relevant support teams
- Proactive, courteous, and flexible team player
- Fluency in written and spoken English and Chinese