Compliance Officer
Head & Shoulders Securities Limited
- Company Industries:Financial Services
Job Information
- Post Date:2017-10-06
- Career Level:Entry Level
- Location:Not Specified
- Salary:Salary negotiable
- Employment Type:Full Time, Permanent
- Job Function:Financial Services Fund Management Legal & Compliance
Job Description
We are looking for a high caliber professional to fill in the role of Compliance Officer to support our expanding businesses.
Job Responsibilities:
- Perform compliance checking, review, and keep the employees up to date about the regulatory and compliance requirements
- Review the update procedure manuals and ensure the processes are in compliance with regulatory guidelines and internal policies
- Liaise with SFC and other regulators
- Responsible for company’s and representative’s license application, representative’s CPT monitoring and employees compliance training
- Coordinating KYC, AML-related issues and projects
- Handle internal compliance review and control, to ensure compliance policies and policies and procedures are followed and maintained the rules and regulations
- Review and approve client KYC / due diligence reports
- Handle licensing issues
- Perform ad-hoc duties and projects as assigned
Job Requirements:
- Degree holder or above in Law, Business, Accounting or related disciplines preferred
- Solid legal and/ or compliance experience, preferably in Financial Industry
- Knowledge of financial service regulatory and licensing requirements
- A strong sense of responsibility, mature, problem solving with good inter-personal and communication skills
- Proficient in both written and spoken English and Chinese
We offer an attractive remuneration package and excellent career prospects to qualified candidates.
Interested parties, please send full resume with current & expected salary and available date to Human Resources & Administration Department via "APPLY"
*** Personal data will be used for recruitment purpose only ***
Company Info
聯合證券有限公司成立於 1999年,見證了香港金融業的發展,並歷經數次金融海嘯,在香港金融服務市場佔據重要市場份額。集團具有雄厚的資金實力和豐富的金融服務經驗,矢志成為一家國際金融服務機構。 聯合證券主要提供股票、孖展融資業務、窩輪、牛熊證買賣經紀業務,並提供穩定便捷的網上交易服務平臺。為回報客戶的忠心支援,堅持向客戶提供佣金優惠。本公司將不斷掌握時代先機,配以先進的信息設備,向客戶傳遞及時資訊,致力於為客戶提供全面的技術支援服務而不斷努力。
聯合證券有限公司根據香港證券及期貨條例,於香港證券及期貨事務監察委員會註冊並獲准提供證券交易(第1類牌照)及就證券提供意見(第4類牌照)業務
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