Compliance Officer (Brokerage)
Connexe Search Limited
- Company Industries：Banking
Job Information
- Post Date：2018-04-19
- Location：Not Specified
- Salary：Salary provided
- Employment Type：Full Time
- Job Function：Others Legal & Compliance Order Processing & Operation / Settlement
Job Description
Our client is an Asian based brokerage firm. They are looking for a candidate to join their compliance team and take part in the accelerated growth of their firm.
Job Responsibilities
- Directly report to General Manager
- Build and strengthen the in-house compliance & risk management framework
- Ensure all firm business and activities are conducted in a way that complies with regulatory guidelines
- Roll out compliance policies & operating guidelines
- Ensure all staff are aware of any changes or updates to compliance policies and regulations
- Handle any FATCA related issues
- Ad-hoc general and business compliance duties if needed
Job Requirements
- Degree holder in Finance / Business Administration / Commerce / Law or related subjects
- 2+ years of experience in compliance related function
- Strong team player and interpersonal skills
- Good knowledge of industry practices and regulations
- Fluent in written and spoken English and Chinese (Mandarin)
Please email your full resume in MS Word format quoting the job reference C18841 in the subject field. Your interest will be treated in strict confidence. Only shortlisted candidates will be notified.
Company Info
Connexe Search is a Financial Executive Search firm that specializes in placing finance professionals within the investment banking and finance industry both in Hong Kong and across the Asia-Pacific region. Our clients remain a consistent group with whom we have established exclusive preferred supplier status and include: Bulge Bracket International Investment Banks, Top Tier Local Financial Institutions, Non-Bank Financial Institutions, Hedge Funds / Private Equity & Alternative Investment Vehicles.
Our success is directly attributable to a highly focused approach and a professional team providing innovative and creative recruitment solutions. In a period of rapid change and industry transformation, we handle the biggest risk in managing change: finding the right talent at the right time.
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