Job Responsibilities:

• Responsible for Hong Kong regulatory work including SFC enquiries and investigations 
• In-charge of overall internal review/controls of marketing materials and external documents;
• Coordinating KYC, AML-related issues and projects
• Perform Client Due Diligence in checking account documentation for new account opening and existing accounts
• Develop, update and review compliance policies, procedures and guidelines from the compliance perspective and circulate to staff for compliance purpose
• Handle internal compliance review and control, to ensure compliance policies and procedures are followed and maintained the rules and regulations

Job Requirements:

• Degree holder in Law, Finance, Accounting, Business or related discipline(s).
• Minimum 5 years experience in the compliance of financial institution, brokerage firm is preferred;
• Knowledge of statutory and regulatory requirements and familiar in dealing with compliance issues;
• Solid brokerage, compliance experience is expected;
• Hands on experience in dealing with regulatory bodies;
• Independent, self-initiative and good interpersonal skills
• Good command of written and spoken English and Mandarin
• Immediate available is preferred

We offer 5-Day working with competitive remuneration package to the right candidate.  Interest parties please apply with resume showing availability, current and expected salaries to Human Resources Department, 21/F, Tesbury Centre, 28 Queen's Road East, Admiralty, Hong Kong or by email.

Web: http://www.convoyinvest.com/en/1-about-us.html

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