Posted on 2022-09-23
京華山一國際(香港)有限公司 Core Pacific - Yamaichi Int'l (H.K.) Ltd

Senior Compliance Officer

京華山一國際(香港)有限公司
Core Pacific - Yamaichi Int'l (H.K.) Ltd

Responsibilities:

  • Develops and conducts compliance monitoring program and performs internal ad hoc investigation
  • Develops, updates and reviews policies, procedures and guidelines from the compliance perspective and circulates to staff for compliance purpose
  • Handles enquiries from regulators and external parties
  • Handles licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators
  • Develops training materials and coordinates compliance / AML trainings
  • Reviews advertisement, marketing materials and webpage for adherence to regulatory requirements
  • Handles ad hoc tasks as assigned

 

Requirements:

  • 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 IA 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

 

We offer good career prospects & competitive remuneration packages to the right candidate. If you welcome the challenge of working in a fast-paced and dynamic environment, please send your application with availability, present and expected packages to us by clicking Apply Now.

Human Resources Department
Core Pacific - Yamaichi International (H.K.) Limited
Room 1101, 11th Floor, China Resources Building,
26 Harbour Road, Wanchai, Hong Kong
Fax No.: 2918-1202
Website: www.cpy.com.hk


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More job information
Salary
Benefits
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Education subsidies
  • Insurance plan
  • Medical plan
Job Function
Location
  • Wanchai
Industry
Employment Term
  • Permanent
  • Full-time
Experience
  • 3 years - 20 years or above
Career Level
  • Non-management level
Education
  • Degree