Job ref no.: A-51153

Senior Compliance Officer

AMAC Human Resources Consultants

Negotiable Per Month
Senior Compliance Officer

  • Degree holder in finance, accounting, law or related disciplines
  • Minimum 3 years of relevant experience working in securities broker
firm
  • Sound knowledge of the SFO and other relevant codes and regulations as
well as rules and regulations of PIBA and MPFA
  • Good knowledge in AML/KYC and back/middle office operation is
preferential
  • Fluent in English and Chinese (Proficiency in Mandarin will be an
advantage)
  • Good team player and self-motivated with strong sense of
responsibility, organizational and problem solving skills
  • Candidate with less experience will be considered for the position of
Compliance Officer
  • Immediately available is highly preferred

Job Duties:
  • Develop and conduct compliance monitoring program and perform internal
ad hoc investigation
  • Develop, update and review policies, procedures and guidelines from
the compliance perspective and circulate to staff for compliance
purpose
  • Handle enquiries from regulators and external parties
  • Handle licensing matters, notification, annual return, survey and
other ad hoc reports as required by the regulators
  • Develop training materials and coordinate compliance /AML trainings
  • Review advertisement, marketing materials and webpage for adherence to
regulatory requirements
  • Handle ad hoc tasks as assigned
Ref.A-51153
 
 

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More job information
Job ref no. A-51153 (CT3116513-01#8784)
Salary
  • N/A
Job Function
Industry
Employment Term
  • Full-time
Experience
  • 3 years - 8 years
Career Level
  • Middle management level
Education
  • Degree