Job ref no.: CT3115413-01#8061

Compliance Assistant 合 規 部 助 理

Caitong Securities (Hong Kong) Co., Limited

Benefits
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan

Responsibilities:

  • Handle SFC licensing for all staff member as well as the licensed corporations and the relevant reporting obligations
  • Conduct compliance surveillance programs and compliance monitoring / reviews and ad-hoc investigations
  • Coordinate and liaise with regulatory authorities on enquiries, reporting, inspection or investigation
  • Assist in developing and delivering compliance training and reviewing relevant legal documents=
  • Assist in company secretarial duties
  • Support Compliance Department on ad hoc projects

Requirements:

  • Bachelor degree in business, finance, law or related field
  • Minimum 1 year relevant experience, preferably in financial institutions; fresh graduates would also be considered
  • Responsible, detail-minded, well-organized with good communication skills, and with the ability to handle multiple tasks independently
  • Conversant with MS Office applications
  • Good command of written and spoken English, Cantonese and Mandarin
     

We offer competitive remuneration package & career prospects to the right candidate. Interested parties please apply with resume showing availability, current and expected salaries by clicking Apply Now.

Website: www.ctsec.com.hk

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More job information
Job ref no. CT3115413-01#8061
Salary
  • N/A
Job Function
Industry
Location
  • Sheung Wan
Employment Term
  • Full-time
Experience
  • 1 year - 5 years
Career Level
  • Entry level
Education
  • Degree