Compliance Officer (RA Type 1 & 4)

Ruifeng Securities Limited

Post Date：2017-04-25
Career Level：Middle
Location：Not Specified
Salary：Salary negotiable
Employment Type：Contract
Job Function：Financial Services Equities / Capital Markets Order Processing & Operation / Settlement

Involve in account opening and operation controls reviews, including risk management, compliance, anti-money laundering, counter-terrorist financing, KYC and client Due Diligence
Involve in maintaining proper documentation, implementation and continuous improvement of all operation manuals, policies and procedures
Assist in communicating with SFC, involve in SFC licensing/notification matters, and other compliance matters
Assist in keeping update of SFO or other related regulations
Perform ad-hoc duties as required

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