Compliance Officer
Wanexe Securities (HK) Limited
- Company Industries:Financial Services
Job Information
- Post Date:2019-02-01
- Career Level:Middle
- Location:Sheung Wan
- Yr(s) of Exp:3 years
- Qualification:Degree
- Salary:Salary negotiable
- Employment Type:Full Time
- Job Function:Equities / Capital Markets
Job Description
Responsibilities
- Conduct regular compliance monitoring reviews to ensure compliance with applicable legal and regulatory requirements
- Responsible for reviewing, drafting and preparing company policies, procedural manuals and guidelines for different departments
- Keep informing the up-to-date regulatory and legislative change to the relevant staff and business units
- Review and update the compliance policies and procedures in accordance with regulations and SFC guidelines.
- Handle licensing and training matters
- Provide legal and compliance support to the management and business units
- Assist to prepare compliance reports for management review
- Handle SFC and relevant regulatory requests and inquiries
Requirements
- University degree in Law / Finance / Business or related disciplines
- At least 3 years relevant experience in financial institutions
- Possess relevant experience in legal & compliance, good knowledge of regulatory requirements, procedures and guidelines
- Self-motivated, meticulous and strong organizational skills
- Strong knowledge of compliance issues in KYC
- High proficiency in both written and spoken English and Chinese, and fluency in Putonghua is an advantage
- Able to work under pressure, responsible, detail-minded, well-organized with good communication skills
Company Info
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