Our Client, a renowned Securities firm, is urgently looking for a Compliance Officer.
- 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.
- University degree in Law, Finance or related disciplines
- Minimum 2 years of relevant experiences in financial industry
- Good knowledge of the SFO and SFC codes and Guidelines
- Detail-oriented, able to work independently and mature
- Excellent written and spoken English, Cantonese and Mandarin
Interested candidates, please kindly send your detailed resume including:
1) Current and expected salary
3) Reason for leaving current and past employments
directly to: firstname.lastname@example.org and email@example.com
Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you.