Job ref no.: CT3118290-01#8563

Compliance Assistant (FX/Global Financial Services Group/SFC Regulated Institution)

DNA RECRUIT PARTNERS LIMITED

DNA Recruit Partners Limited

Specializing in dynamic recruitment, search and career consultancy covering agency and client side in Hong Kong, throughout China and around the world.

Connecting Talent with Opportunity.

DNA Recruit Partners is a professional recruitment consultancy specializing in the recruitment of permanent, contract and temporary positions on behalf of clients from a board range of industries. Our core duty is working with talented job seekers to facilitate a successful match, facilitating job seeker to find their dream job. Our talented management team is ready to help you to select your own paths, make your own choices and build your future the way you want to. We have a professional team of individuals, each of whom are subject matter experts in their market, and when you speak to one of our team, you will be dealing with someone equipped with knowledge and expertise you can trust. Regardless of country, city, or any of our branches, we offer an environment built on strong, supportive and friendly teams.

It's in your DNA for this role.

 

Our client is a Global Financial Services Group and they are now looking for a Compliance Assistant (FX/Global Financial Services Group/SFC Regulated Institution) for their business operations. Newly created position, interesting opportunity, MNC environment and great job exposure, this person will be responsible for compliance aspects of FX and serves as a trusted advisory to markets business lines. The successful incumbent seeks to ensure that business is being conducted in conformity with all applicable laws, SFC regulations and internal procedures that relate to FX including keeping abreast of new products, technologies, and their applications and implications for markets.

 

Responsibilities:

 

  • Manage and ensure policies and procedures are in compliance with FX regulatory requirements and perform compliance checking to monitor FX trading activities
  • Assist in all SFC regulated activities to ensure full regulatory compliance and good market practice
  • Analyze potential risks of non-compliance and identify areas for improvement with remedial measure and provide recommendations to management accordingly
  • Monitor the implementation of rectifications in relation to FX selling process and sales compliance issues
  • Assist in developing FX compliance policy and provide support to business units
  • Establish, enhance, monitor and perform compliance controls over operations and business activities such as outsider contract preparation

 

Requirements:

 

  • Degree Holder in Law, Finance or related discipline
  • Minimum 2 years of in-house compliance role experiences, professional services firm, banking or financial institutions are highly preferred with SFC registered in-house compliance exposure will be an advantages although not necessary
  • Well-understanding of SFC regulation, codes, guidelines and legal advisory will be an advantageous
  • Proficient in spoken and written English, Cantonese and Mandarin
  • Sensational analytical and problem solving skills
  • Self-motivated, mature, detail minded, with the ability to handle multiple tasks independently under pressure

 

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