Responsibilities:

1. Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies.

2. Jointly conduct AML / KYC assessments and transaction monitoring on AML as well as perform an internal control function to ensure the business and operations are in compliance with regulatory requirements.

3. Develop training materials and coordinate compliance / AML training.

4. Carry out compliance work on the company’s operations & systems and prepare reports for management decisions.

5. Respond to enquiries from regulatory bodies such as SFC.

Requirements:

1. Minimum 3 years compliance experience in a Securities firm.  Applicants previously employed in the professional firms (accounting firms, solicitors or regulators) on the audit, compliance or investigation of Securities companies or Banks will be considered.

2. Good knowledge of the Stock exchange, SFO and SFC codes and Guidelines.

3. Self-motivated, possessing initiative and ability to work independently.

4. University graduate.

5. High proficiency in written and spoken English and Chinese. Putonghua highly desirable.

We offer competitive remuneration package, career advancement opportunities and generous fringe benefits including double pay, performance bonus, mandatory provident fund, and group medical plan to the right candidates. Please apply with full resume and expected salary by email.

(We do not assume any risks of disclosure of personal information prior to receipt of applications. Information received will be treated with strict confidence & will be used for recruitment purposes only.)

Juhui Financial Securities Limited is a Hong Kong subsidiary of JP Investment Group, which is a NYSE listed company (ticker: JP) specializing in wealth management business. 

JP Investment Group is one of the largest wealth management company in China with more than 80 offices across the mainland China, US, and Hong Kong.

The establishment of the Hong Kong office serves as the hub for the Group's global business.

The HK entity holds the Type 1 (Dealing in Securities), Type 4 (Advising on Securities) and Type 9 (Asset Management) licences granted by SFC.

The management team consists of experts from China, USA, Australia and the UK - all of whom have had many years of experience in the financial services industry across the globe.