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Job ref no.: CT3114630-01#5466

Compliance Officer

Prestige Securities Limited

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

We are looking for a self-motivated, focused individual with strong compliance knowledge base to oversee the SFC regulated activities of our securities brokerage and fund management businesses.

Responsibilities:

  • Ensure that the operating procedures comply with regulatory and company policies and requirements.
  • Identify key compliance and operation risks and weaknesses.
  • Maintain the monitoring systems, provide risk and compliance advice and ensure the operation in accordance with various risk and compliance parameters.
  • Conduct a vigorous awareness of changes in the regulatory environment and if necessary, modify and adapt changes in the policies, procedures and monitoring systems.
  • Conduct KYC, AML checking for client account opening.
  • Perform periodic compliance monitoring and reviews on business activities, ensure the operational flow of the Company conforms to internal requirements and external regulations.
  • Provide relevant compliance training on various subject matters.
  • Assist the business on various other matters, including but not limited to SFC inquiries, SFC license applications and CPT monitoring etc.

Requirements:

  • A degree holder in Law, Accounting, Finance or other related disciplines.
  • Familiar with SFC regulations, rules and guidelines.
  • Min 3 years relevant experience within a securities firm or financial institution; relevant experience in asset management and hedge funds is desirable.
  • Independent and good team player.
  • Strong knowledge of prevailing financial service regulatory requirements.
  • Excellent command of spoken and written English and Mandarin.

Interested parties please click Apply Now to apply job.

 

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More job information
Job ref no. CT3114630-01#5466
Salary
  • N/A
Job Function
Industry
Location
  • Central
Employment Term
  • Full-time
Experience
  • 3 years - 9 years
Career Level
  • Non-management level
Education
  • Diploma or equivalent
  • Asso. Deg or High Dip
  • Degree