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Compliance Officer

CITIC Securities Brokerage (HK) Limited

  • Company Industries:Others

Job Information

  • Post Date:2018-05-25
  • Career Level:Middle
  • Location:Not Specified
  • Salary:Salary negotiable
  • Employment Type:Full Time, Permanent
  • Job Function:Others  Equities / Capital Markets  Legal & Compliance  

Job Description

Responsibilities

  • To maintain regulatory relationships; assess, measure and report on compliance related risks; monitor and test the adequacy of the firm’s compliance control environment and to develop policies and controls
  • Assisting the AML Compliance Team for the advising on all AML/KYC issues in response to the new law, e.g. client on-boarding, negotiation with clients on business terms, and advising the management on various ad-hoc clients’ request and business initiatives
  • Assisting in performing risk reviews, remediate gaps, design solutions, and assist in managing projects to ensure a compliant outcome.
  • Assisting in perform AML compliance monitoring and surviallance programs.
  • Assisting in handling regulaotors enquires
  • Assisting in advising and directing businesses and stakeholders on the implementation of adequate procedures and controls.
  • Assisting in undertaking investigations into any suspicious transactions reported internally and also by clients.
  • Assisting in supporting other compliance team for CSB compliance matters

Requirements

  • Preferably a degree holder in Law, Accounting or related discipline applicable to finance and/or regulation, but not essential.
  • Minimum2 years compliance experience in a sizable financial institutional would be ideal.
  • Knowledge of securities laws, finance, operations, products and services would be advantageous.
  • Articulate and able to demonstrate interest in working within Compliance and regulation of the financial industry.
  • Bright and energetic, willing to learn and enthusiastic to join a growing investment bank.
  • Self-motivated, well-organized and presented, independent and pleasant personality with good communication skills at all level.
  • Good command of written and spoken English and Chinese (including Putonghua).

If you are seeking a dynamic environment in which to build your career in wealth management, please send applications to CSB recruitment inbox. All applications will be treated in the strictest confidence. Personal data collected will be used for recruitment purposes only.

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