Job ref no.: CT3130312-01#0839

Compliance ,Vice President

CHINA INDUSTRIAL SECURITIES INTERNATIONAL FINANCIAL GROUP LIMITED

Responsibilities

  • Handle compliance area of business activities type 1 and 2
  • Handle enquires from regulators on trade-related enquiries, demand for information and investigation related requests;
  • Handle statutory reporting required under the Securities and Futures Ordinance;
  • Handle license application and maintenance;
  • Lead in Handling of regulatory complaints;
  • H andl e compliance related matters arising from day-to-day business operations.
  • Present, co-ordinate and provide assistance for Compliance trainings.
  • Perform ad-hoc assignments as required

  Requirements

  • Bachelor degree holder in Accounting, Business, Finance, Law or related discipline ;
  • Minimum 5 year's relevant experience in general compliance field for securities brokerage / financial services ;
  • Familiar with Hong Kong securities regulatory requirements and financial markets compliance management, eg. SFO, Listing Rules, etc .;
  • A team player with good interpersonal, analytical and communication skills ;
  • Proficiency in MS Office applications ;
  • Excellent command of spoken and written Chinese and English, fluency in Cantonese and Putonghua is a must).
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More job information
Job ref no. CT3130312-01#0839
Salary
Job Function
Industry
Location
  • Sheung Wan
Employment Term
  • Full-time
Experience
    N/A
Career Level
  • Middle management level
Education
  • Degree