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Compliance Officer / Senior Compliance Officer

Quam Limited

  • Company Industries:Others

Job Information

  • Post Date:2017-07-26
  • Career Level:Entry Level
  • Location:Not Specified
  • Salary:Salary provided
  • Employment Type:Permanent
  • Job Function:Financial Services  Equities / Capital Markets  Legal & Compliance  

Job Description

We are recruiting a suitable candidate for the captioned position, who will be mainly responsible for handling the compliance matters of our growing securities and futures brokerage business. 

 

Job Responsibilities: 

  • Submitting licence applications to the regulatory bodies.
  • Monitoring the daily business / trading activities to ensure compliance with internal policies / procedures and external regulations.
  • Maintaining the compliance documentation and disclosure filing systems.

 

Job Requirements: 

  • Hold a university degree or post-secondary diploma, preferably in finance / accounting / business / legal discipline.
  • At least one year (for Compliance Officer) / three years (for Senior Compliance Officer) of experience in the financial industry or auditing field preferred.
  • Mature, responsible, independent and self-initiated.
  • Possess excellent communication and interpersonal skills.

  

We offer attractive salary, benefits and 5-day workweek to the successful applicant.  Please send your resume with present and expected salary to the Group Human Resources Manager. (Please quote the job reference number on the email subject line.) 

Personal Data collected will be used for recruitment purposes only.

Company Info

Quam Limited group is a diverse financial service group based in HK and listed on the SEHK (00952). The major business includes securities and futures dealing, corporate financial advisory, asset management and financial information & media. The group has grown substantially in revenue, sales staff and locales over the past several years, and requires the additional scope of the following positions.  

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