Job ref no.: CT3119652-01#2437

Compliance Assistant (SFC)

Mario Recruitment Limited

Job Responsibilities:

  • Manage and ensure policies and procedures are in compliance with Securities and Futures Ordinance and Codes and Guidelines;
  • Assist in all SFC regulated activities to ensure full regulatory compliance and good market practice;
  • Establish, enhance, monitor and perform compliance controls over operations and business activities
  • Develop and implement risk management, internal control and Compliance assurance program within the organization

Job Requirements:

  • University graduate (preferably in Law or Accountancy), professional qualification in CPA/CFA would be an advantage;
  • At least 2-3 years' solid compliance experience in financial intermediaries, professional firms or regulator;
  • Understanding of FRR would be an advantage
  • Familiar with the Securities and Futures Ordinance and Codes and Guidelines issued by the Securities and Futures Commission;
  • Well organized, self-motivated and good interpersonal skill; and
  • Good command of spoken and written English, Cantonese and Mandarin

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

More job information
Job ref no. CT3119652-01#2437
Salary
  • N/A
Job Function
Industry
Experience
  • 2 years - 3 years
Career Level
  • Entry level
Education
  • Degree