Job ref no.: CT3116513-01#1145

Senior Compliance Officer/Assistant Compliance Manager

AMAC Human Resources Consultants


- Negotiable Per Month
Senior Compliance Officer/Assistant Compliance Manager


 

  • Degree holder in the areas of business, accounting, law or related

disciplines


  • Minimum of 2 years' experience in performing internal auditing or

compliance functions in the securities industry, such as investment
bank or securities firm


  • Sound knowledge of the securities industry, including a thorough

understanding of equities, futures and options and fixed income
products, business operations and practices


  • Good knowledge and understanding of the securities laws, rules and

regulations, codes and practices of Hong Kong, including those of the
local regulators and exchanges


  • Excellent analytical skills
  • Able to work efficiently and under minimal supervision
  • Strong communication and interpersonal relationship skills
  • Excellent written and spoken English. Fluent Mandarin is a plus

Job Duties:


  • The successful applicant will be responsible to assist management in

carrying out the compliance functions of the Company for the provision
of equities, futures and options, fixed income, asset management
including establishing, implementing, and enforcing relevant internal
policies and procedures by the respective officers and employees in
accordance with applicable external legal, regulatory, codes, policy
and procedural requirements


  • To report to the Head of the Legal and Compliance Department
  • To assist management in the internal compliance control and

supervision, and business practices of, the regulated activities
conducted by the Company, its subsidiaries, and their respective
officers and employees


  • To provide advice to members of management, officers and employees on

compliance issues


  • To develop and establish appropriate and effective policies and

procedures on any new regulatory requirements and business products or
activities


  • To manage and conduct the daily review and monitoring of the regulated

business activities of the Company and its subsidiaries, and any
proprietary and staff dealing, and to report occurrences of
non-compliance or irregularities


  • To develop and conduct continuing professional training programs; and
  • To manage and supervise the client account opening documentation and

requirements
Ref.A-51190

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More job information
Job ref no. CT3116513-01#1145
Salary
  • N/A
Job Function
Industry
Employment Term
  • Full-time
Experience
  • 2 years - 7 years
Career Level
  • Non-management level
Education
  • Degree