Assistant / Officer, Compliance Department

Fulbright Securities Limited

Kowloon Bay, Hong Kong
Permanent
Full-time

22 days ago

Fulbright Financial GroupFounded in 1999 by a group of high caliber professionals, Fulbright Financial Group is dedicated to developing financial business in Hong Kong and China. Throughout the decade, we become a specialist in the trading of securities, futures and precious metal, and we keep on expanding our business to the fields of corporate finance, asset management, credit financing, mortgage refinancing and wealth management. To cope with our company expansion, an excellent career opportunity is offered to the right candidate to join us.Responsibilities:

Responsible for handling with compliance control programs
Liaise with regulators and assist in handling enquiries, complaints and licensing works
Work with the surveillance teams to calibrate and implement the due diligence procedures, processes and policies
Assist in developing and implementing remedial action plans in response to internal and external audit findings

Requirements:

Bachelor's Degree in Legal, Finance, Accounting or related disciplined with 1-2 years' relevant experience gained in Brokerage firm, banking and finance industry
Familiar with SFO and HKEX rules
Have strong sense of responsibility, detail-minded and able to work independently
Good communication skills for collaborative work with inter-departmental and external parties
Good command of written and spoken English and Chinese
Proficiency in MS Office application

Salary and fringe benefits for the post will be highly competitive, commensurate with qualifications and experience. Interested candidates please send your resume, last and expected salary to the Human Resources and Administration by clicking "Apply Now".Data collected will be used for recruitment purpose only. For more details, please visit us at www.ffg.com.hk.

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