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Job ref no.: UCHS
Chong Hing Securities Limited

Assistant Vice President, Compliance – Chong Hing Securities

Chong Hing Securities Limited

Responsibilities:

  • Assist in keeping update of Securities and Futures Ordinance or regulations or code, identifying the impact to the Company and providing advisory to the management;
  • Perform and develop compliance reviews and self-assessments to ensure comply with internal policies, Securities and Futures Ordinance, AML / KYC and other applicable laws and regulatory requirements;
  • Review and update compliance policies and procedures;
  • Review business documents and related materials to ensure compliance of relevant laws and regulations;
  • Coordinate and monitor the Company’s AML issues, including training to colleagues;
  • Assist in liaising with relevant regulators and external parties on legal and regulatory issues; and
  • Handle ad-hoc assignment as required.

Requirements:

  • Degree holder in Law, Accounting, Finance, or related disciplines;
  • Minimum 5 years’ compliance experiences in sizable bank / brokerage firm;
  • Good knowledge in securities operations, products and services;
  • Familiar with Securities & Futures Ordinance, related codes and guidelines issued by SFC, AML / KYC, and other relevant laws and regulations;
  • Self-motivated, good analytical and interpersonal skills;
  • Good command of written and spoken English and Chinese; and
  • Conversant with MS Office applications and Chinese Word Processing.  
More job information
Job ref no. UCHS
Salary
Benefits
  • 5-day week
  • Birthday leave
  • Dental plan
  • Discretionary bonus
  • Education subsidies
  • Insurance plan
  • Medical plan
Job Function
Location
  • Central
Industry
Employment Term
  • Permanent
  • Full-time
Experience
  • 6 years - 11 years
Career Level
  • Middle management level
Education
  • Degree