CLC Securities Limited & CLC Futures Limited is the subsidiary of CLC. The company is now hiring high caliber candidates to fill the following positions.

Responsibilities

• ŸProvide day-to-day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business units in compliance with the laws, rules and regulations;
• ŸReview business processes, enhance and develop procedures and guidelines to ensure compliance with regulatory requirements;
• Handle licensing issue;
• Handle company secretarial work;
• ŸPerform and review regular compliance checking;
• Identify and evaluate regulatory and AML/CFT risks of the operations and business activities for the Company;
• Manage relationship with the relevant Exchanges and SFC, handling queries and requests;
• Deliver in-house compliance training to business units and provide advice to the management;
• Perform other ad hoc duties as assigned.

Requirements

• Degree holder in Law, Finance, Accounting, Business or related discipline(s)
• At least 5 years solid relevant experience in securities brokerage firm, fund house or investment bank or sizable financial institutional
• ŸHands-on experience of company secretarial work;
• ŸFamiliar with HK AML rules, SFO and HKEX rules in securities, futures, asset management  and corporate finance as well as the operations, products and services in licensed corporations
• ŸAble to work independently and communicate effectively with internal and external parties
• ŸGood command of written and spoken English and Chinese including Putonghua
• ŸImmediate availability will be an advantage

Please send full resume with current and expected salary and available date to h r @ c l c h k .c o m. Data collected will be kept in strict confidence and used for recruitment purposes only.

Established in 2011, CLC is a Hong Kong-based investment-led financial services firm, managing multiple strategies worldwide. We generate attractive investment returns by following a disciplined approach with unique insights and deep research. Our distinctive culture has gathered like-minded, high-quality people who are open-minded and accountable to grow with us, and provided our investment partners with ever-improving solutions.

To know more, please visit us at: www.clchk.com.

For more information about the position, please visit Financial Analyst.