Junior Auditor / Semi-Senior Auditor 內部審計人員 - 合規部
Caitong Securities (Hong Kong) Co., Limited
- Company Industries:Financial Services
Job Information
- Post Date:2017-01-03
- Career Level:Entry Level
- Location:Not Specified
- Salary:Salary provided
- Employment Type:Full Time
- Job Function:Audit Financial Services Legal & Compliance
- Benefits:Dental insurance Five-day work week Life insurance Medical insurance Performance bon
Job Description
Junior Auditor / Semi-Senior Auditor
Responsibilities:
- Assist to perform audit assignments to facilitate business activities applying a risk based approach.
- Assist to perform special audits based on regulators, business line and audit committees requirements.
- Assist in conducting audit risk assessments and periodic reporting requirements
- Assist to update compliance policies and procedures.
- Assist to review internal processes, procedures and controls to compliance with the applicable regulatory requirements and internal standards.
- Liaise with other departments to ensure compliance in all aspects of the local business.
- Work closely with various business / functional units and oversee projects on designated legal / regulatory subjects.
- Assist to ensure that the required control and compliance documentation are completed by the relevant business / functional units.
- Assist to provide compliance and regulatory advice on designated project work.
Requirements:
- Degree holder or above, preferably major in Accounting
- Minimum 1 years' relevant hands-on experience
- Knowledge in brokerage systems and broker operations, with exposure to AML work is an advantage.
- Ability to work independently and to make prompt decisions
- Self-motivated, independent with strong analytical and communication skills
- Professional presentation and report writing skills
內部審計人員 - 合規部
崗位職責
- 以風險為本的方法對業務經營活動進行審計檢查
- 按監管機構, 業務需要或審計委員會指示執行特殊项目的審計檢查
- 協助進行審計風險評估及需作定期的通報
- 不時更新合規政策和程序
- 與合規部檢討內部的守則, 流程與控制以符合監管機構的規則和內部標準
- 與其他部門溝通和合作,以確保所有業務符合公司合規標準
- 與業務部門/功能單位緊密聯繫, 並監督项目以符合指定的法規
- 確保業務部門/功能單位的有效控制及项目文件上的合規性
- 為特殊項目提供合規性及監管建議
崗位要求
- 學士或以上程度, 會計專業優先
- 最少1年審計經驗
- 熟悉證券經紀業務及運作, 及反洗錢(Anti Money Laundering) 工作經驗優先
- 有獨立工作的能力, 能迅速地作出決策能力
- 自覺性強, 有獨立分析能力及有良好溝通技巧
- 有專業的陳述及撰寫報告能力
We offer competitive remuneration package & career prospects to the right candidate. Interested parties please apply with resume showing availability, current and expected salaries by quick bottom.
Website: www.ctsec.com.hk
(Personal data collected will be kept confidential and used for recruitment purpose only)
Company Info
財通證券(香港)有限公司(以下簡稱“財通(香港)”)是財通證券股份有限公司(以下簡稱“財通證券”)的全資子公司。經中國證監會批准在香港註冊設立。
財通(香港)旗下的財通國際證券有限公司已獲發香港證監會第一類受規管活動牌照(證券交易)及第四類受規管活動牌照(就證券提供意見);旗下的財通國際資產管理有限公司已獲發第一類受規管活動牌照(證券交易)、第四類受規管活動牌照(就證券提供意見)及第九類受規管活動牌照(提供資產管理);旗下的財通國際融資有限公司已獲發第一類受規管活動牌照(證券交易)及第六類受規管活動牌照(就機構融資提供意見)。
財通(香港)是財通證券應對金融業對外開放、實施國際化戰略的重要平臺。公司秉承母公司“規範經營、穩健發展、務實創新、追求卓越”的經營理念,依託母公司強大的資產實力和雄厚的客戶基礎,憑藉香港國際金融中心的獨特優勢,充分利用香港的人才優勢和豐富的金融產品及資本優勢,為國內投資者提供更廣闊、多元化的金融服務,同時為國際資本尋求和挖掘內地的投資機會。
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