Compliance Officer (Securities Brokerage)-EW

Classy Wheeler

  • Hong Kong
  • $30,000 per month
  • Permanent
  • Full-time
  • 10 days ago
Our client is a renowned listed securities brokerage company. To cope with continues growth they are now urgently looking for a Compliance Officer to join the team in Hong KongJob Description
  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
  • Provide staff training related to compliance guidelines and requirements
  • Liaise with SFC and regulators for any inquiries and requests
  • Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML / PDD / KYC suitability policy
  • Keep abreast of new regulatory requirements published by SFC and FATCA etc.
Job Requirements
  • Degree in Law, Finance or related disciplines
  • At least 3 years of relevant experiences in financial industry (securities firm preferred)
  • Good knowledge of the SFO and SFC codes and Guidelines
  • Detail-oriented, mature and able to work independently
  • Good in English, Cantonese and Mandarin

Classy Wheeler