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Job ref no.: CT3114843-01#7847

[URGENT HIRE] Securities Brokerage - Compliance Officer (2-4 years exp)

JAC Recruitment Hong Kong Co., Limited

Benefits
  • 5-day week
  • 13-month pay
  • Dental plan
  • Discretionary bonus
  • Medical plan

 Our Client, a renowned Securities firm, is urgently looking for a Compliance Officer. 

Responsibilities: 

  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
  • Provide staff training related to compliance guidelines and requirements
  • Liaise with SFC and regulators for any inquiries and requests
  • Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML / PDD / KYC suitability policy
  • Keep abreast of new regulatory requirements published by SFC and FATCA etc.

Requirements:

  • University degree in Law, Finance or related disciplines
  • Minimum 2 years of relevant experiences in financial industry
  • Good knowledge of the SFO and SFC codes and Guidelines
  • Detail-oriented, able to work independently and mature
  • Excellent written and spoken English, Cantonese and Mandarin

Interested candidates, please kindly send your detailed resume by clicking Apply Now including:

1) Current and expected salary
2) Availability
3) Reason for leaving current and past employments

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More job information
Job ref no. CT3114843-01#7847
Salary
  • N/A
Job Function
Industry
Location
  • Central
Employment Term
  • Permanent
  • Full-time
Experience
  • 2 years - 7 years
Career Level
  • Entry level
Education
  • Degree