Compliance Officer
Topper Dragon Securities Limited
- Company Industries:Financial Services
Job Information
- Post Date:2017-05-16
- Career Level:Entry Level
- Location:Not Specified
- Salary:Salary negotiable
- Employment Type:Full Time, Permanent
- Job Function:Financial Services Others Legal & Compliance
Job Description
Responsibilities
- Review and enhance compliance framework on Type 1 regulated activities
- Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements
- Review regulatory returns to ensure they are accurate and submitted in line with regulatory timescales, working closely with the finance team
- Handle inquiries and investigation from SFC and HKEx
- Handle licensing issues for individuals;
- Perform transactions monitoring and AML measures;
- Develop training materials and coordinate compliance / AML training
- Perform ad hoc projects as required
Requirements
- Bachelor degree in Accounting/ Economics/ Finance
- Minimum 2-3 years of compliance experience in securities firm;
- Excellent command of written and spoken English and Chinese (Cantonese and Mandarin)
- Good understanding of SFO and other relevant rules and regulations.
- A team player with strong communication and analytical skills as well as high degree of professional maturity
- Able to prioritize multiple tasks and detail-minded
We offer a competitive salary package and 5 day work week to the right applicant. Interested parties please send your full resume with current & expected salary and date of availability by clicking "Apply Now".
Personal data will be used for recruitment purpose only.
Company Info
Topper Dragon Securities Limited is a securities firm in Hong Kong with regulated activities of Type 1 and is now looking for the right candidates to fill in the following position:
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