Sales and Trading, Compliance Manager - Securities Brokerage
Asia Progress Executive Limited
- Company Industries:Human Resources Management/Consultancy
Job Information
- Post Date:2019-02-22
- Career Level:Middle
- Location:Central & Western Area
- Yr(s) of Exp:7 years
- Qualification:Degree
- Salary:Salary provided
- Employment Type:Full Time
- Job Function:Dealing & Trading Equities / Capital Markets Legal & Compliance
Job Description
Our client is a PRC Securities Brokerage. To cope with the rapid business expansion, they are now inviting high caliber candidates to join the team
Compliance Manager, Sales and Trading - Securities Brokerage
Responsibilities:
- Provide advice on sales and trading business activities (both institutional and retail) to ensure compliance with relevant rules and regulations in daily operations and new business initiatives
- To enforce the best market practice within the sales and trading business activities
- To implement internal policies and procedures to ensure business activities comply with the relevant rules and regulations
- To identify, resolve and escalate compliance risk on a timely manner
- To handle matters on KYC and AML, to implement controls over KYC and AML in order to comply with all relevant rules and regulations and market’s best practice
- To perform daily surveillance over business activities and perform any investigation if necessary
Requirements:
- Degree holder in business related discipline
- Minimum 7 years of compliance experience in sales and trading area in Securities Brokerage /Securities Business
- Prior working experience in SFC is an advantage
- Familiar with the market practice in sales and trading business and AML
- Familiar with using trade surveillance system and transaction monitoring system
- Proficiency in written and spoken Mandarin, English and Cantonese
- Excellent knowledge relevant rules and regulations of the SFC and HKEx
- Good interpersonal and communication skills
- Strong analytical skills and able to work independently
Please send full resume with present & expected salary to expedite sourcing in MS-WORD format by clicking “APPLY NOW”
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Company Info
Asia Progress is a well-established and reputable boutique talent acquisition agency specialising in the Banking & Finance industry. We firmly
believed in providing exclusive and bespoke talent search to our clients and career advice to our candidates.
Equipped with solid experience in recruiting for all levels, we have successfully developed an established and renowned practice. Our reputable network in the Banking & Finance industry is what makes us stand out from our competitors and enables us to remain competitive yet at the same time providing professional talent search and career advice.
For enquiries and contact details, please visit: www.asiaprogress.com.
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