Assistant Vice President - Legal and Compliance
China Galaxy International Financial Holdings Limited
- Company Industries:Financial Services
Job Information
- Post Date:2013-12-09
- Career Level:Entry Level
- Location:Central & Western Area
- Yr(s) of Exp:2 years
- Qualification:Degree
- Employment Type:Full Time
- Job Function:Financial Services
- Benefits:Five-day work week Medical insurance
Job Description
Responsibilities:
- Conduct compliance/ AML reviews and ad-hoc investigations.
- Report non-compliance issues and suggest resolution and improvement plan.
- Conduct customer due diligence and process account opening documentation.
- Reviews and comments on operational documents, marketing materials, advertisements to ensure compliance with applicable legal and regulatory requirements.
- Handle SFC enquiry and conduct related investigations.
Requirements:
- Degree in Law, Finance, Accounting or any related disciplines is preferred.
- At least 2 years relevant working experience in financial services sectors.
- Good knowledge of SFO, its subsidiary rules and other SFC codes and guidelines.
- Good command of written English and Chinese, fluent in Putonghua is an advantage.
We offer attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present & expected salaries and date of availability to Human Resources Department by email: hr@chinastock.com.hk
All applications will be treated in the strictest confidence and personal data collected will be used for recruitment purpose only.
Company Info
We are the fast expanding subsidiary of China Galaxy Securities Company Limited, a leading securities company established in the PRC. To cope with our business expansion, we are seeking high caliber candidates to join our team and grow with us:
Position | Company | Location | Update |
---|