Compliance Officer

Pearl River Finance Holdings Limited

Company Industries：Financial Services

Job Information

Post Date：2018-04-30
Career Level：Top
Location：Not Specified
Salary：Salary negotiable
Employment Type：Full Time, Permanent
Job Function：Investment Financial Services Legal & Compliance

Job Description

Responsibilities:

-Perform regular and ad hoc reviewing, checking and monitoring on compliance and regulatory issues regarding to the Company’s business activities

-Responsible for drafting, developing and enhancing compliance policies & strategies to ensure that regulatory requirements are met and aligned with business needs

-Provide internal training in relation to compliance and regulatory issues

-Assist in handling internal and external enquiries on compliance related issues

Requirement:

-University graduate with major in Law. Finance, Accounting or Business related disciplines

-Minimum five year relevant experience, preferably in securities industry

-Knowledge of regulations and statutory requirements from regulatory bodies including HKMA and SFC is preferred.

-Presentable with good communications & interpersonal skills

-Able to handle trouble-shooting problems independently

-Good command of spoken and written English, Chinese and Mandarin

-Proficiency in MS Office (Word, Excel & PowerPoint)

-Familiar with SFC Type 1,4,9

-Familiar with cross-border schemes

-Familiar with PRC culture

-Immediate available is highly preferred

Company Info

Pearl River Finance Holdings Limited, a holding company which houses two HK corporation licensed entities under the Securities and Futures Ordinance to carry on Dealing in Securities (Type 1), as well as Advising in Securities (Type 4) and Asset Management (Type 9).

We provide a reliable and professional financial investment platform for investors among Hong Kong, China and other Asian markets. To cope with our business expansion, we are recruiting new members to join our team of committed, dedicated and high-caliber finance professionals.

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