Compliance Assistant – Chong Hing Securities

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 Accounting, Finance, or related disciplines;
• Minimum 4 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. 
• Immediate available is preferable

We offer competitive remuneration package and promising career opportunities to the successful candidates. Interested parties, please send full resume with current & expected salary and the date of availability to The HR Division, G.P.O. Box 2535, HK , or by clicking Apply Now. Please quote reference on your application. Information provided will be treated in strict confidence and only be used for recruitment purposes. Personal data of unsuccessful applications will be destroyed 24 months after the completion of the recruitment and selection exercise.