Job ref no.: CT3126124-01#0882

1st Tier Brokerage Firm - Surveillance Compliance Officer

Gravitas Recruitment Group

Responsibilities:

  • Perform trade and eComms surveillance and monitoring across firm-wide business including brokerage and wealth/asset management
  • Conduct compliance monitoring and review of business activities and ensure compliance with internal and external regulatory requirements
  • Provide compliance advice to internal business
  • Conduct monitoring on disclosure of interest

 

Requirements:

  • Minimum 3 years of compliance/surveillance experience in the financial services industry
  • Well versed with SFC rules and regulations
  • Familiar with trading rules and regulatory requirements
  • Surveillance experience in Private Banking/Wealth Management is a definite advantage

 

Our client offers excellent remuneration package to the right candidate. Interested parties please kindly reach out to Eunice Lee at 39070744  for a confidential discussion.

Interested parties please click Apply Now to apply job.

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More job information
Job ref no. CT3126124-01#0882
Salary
Job Function
Industry
Employment Term
  • Permanent
  • Full-time
Experience
  • 3 years - 8 years
Career Level
  • Non-management level
Education
  • Degree