Responsibilities:

• Act as Compliance Manager, Anti-Money Laundering Officer, and Money Laundering Reporting Officer in accordance with the requirements and regulations relating to the relevant Ordinances;
• Direct reporting to the Chairman & CEO of the Group Companies in all kinds of corporate matters.
• Responding all enquiries about legal and compliance matters within the Group Companies and the relevant competent authority as well as the external lawyers and SFC
• Maintain an effective compliance function, to monitor compliance with its own internal policies and procedures, and all applicable legal and regulatory requirements
• Ensure that its compliance function possesses the technical competence, adequate resources and experience necessary for the performance of its functions
• Ensure that its compliance function is independent of other business functions and reports directly to the management board of the Company
• Provide the internal staff training in accordance with relevant SFO, SFC’s Rules and Regulations and relevant Compliance Manual by way of CPT Training. Keeping track of the training and, with the help of the team, conducting checks to ensure procedures are being understood and followed
• Drafting, amending, training and implementing local procedures and policies including but not limited to Compliance Manual and AML Guideline, and reviewing and amending the Internal Control Operation Guideline from time to time
• Update the margin credit ratio regularly
• Implement the credit assessment and risk control of securities and brokerage business operations
• Perform the customer margin control effectively and do the mandatory liquidation based on requirement.
• Review the credit applications and the credit assessments submitted by customers
• Regularly evaluate the stocks financing credit rating and make an immediate rating change on individual stocks
• Deal with the project or credit assessment to support management's decision making
• Review and improve the current credit risk monitoring and management process; manage and implement regulatory change

Requirements:

• Degree holder in Finance, Accounting, Law, Business, Economics or other related disciplines
• At least 3 years relevant working experience in Financial Services
• Familiar with Securities and Futures Ordinance and applicable statutory and regulatory requirements
• Fluent in English, Mandarin and Cantonese
• Independent, self-initiative and good interpersonal skills
• Immediately available is an advantage

Interested party please forward your resume in both English and Chinese, together with expected salary and job reference by clicking “Apply Now” for our processing.

All personal information provided by applicant will be treated in strict confidence and used solely for recruitment purposes. Hao Tian International Securities Ltd will retain all applications no longer than 6 months after which the documents will be destroyed.