Job ref no.: CT3122973-01#6922

Senior Associate, Compliance (Futures Brokerage)

Mario Recruitment Limited

Job Responsibilities:

  • Review and perform on the quality compliance tasks regarding the relevant legislations, rules and industry practice including sign-off of client on-boarding, new product approval, KYC procedures, AML procedures, product/client suitability, marketing material and maintenance of CPT records
  • Conduct and report on compliance monitoring on a timely basis, including but not limited to client acceptance review and regular review
  • Prepare operations manual for internal compliance departments
  • Perform various kinds of security & risk assessment
  • Conduct compliance investigation pertaining to incidents, complaints or administration issues
  • Participate in ad hoc projects

Job Requirements:

  • Degree holder of Law, Accounting & Finance or other related disciplines
  • 2-4 years of relevant working experience in brokerage houses/ securities houses/ AML compliance
  • Good understanding in client on-boarding, KYC and Customer due diligence process is a must
  • Relevant compliance experience with Type 1,2,4,5 regulated activities would be an advantage
  • Flexible attitude and independent
  • Reliable with integrity, responsibility and strong commercial sense
  • Good command of English and Chinese

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More job information
Job ref no. CT3122973-01#6922
Job Function
Employment Term
  • Permanent
  • Full-time
  • 2 years - 7 years
Career Level
  • Entry level
  • Degree
  • Master's degree