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Compliance Officer (salary - negotiable)

Don Nelson Recruitment Limited

  • Company Industries:Human Resources Management/Consultancy

Job Information

  • Post Date:2019-02-21
  • Location:Central
  • Salary:Salary provided
  • Employment Type:Full Time, Permanent
  • Job Function:Legal & Compliance  Asset Management  

Job Description

Our client, one of the Chinese based financial group is recruiting a high-caliber candidate to join their Compliance Team.  A job description is as follows : -  

 Responsibilities:

  •  Handle the Type 1 & 2 license regulatory compliance activities for the company
  • Coordinate review of existing, new and proposed regulations that are relevant to the firm and communicate to the appropriate business lines
  • Responsible for regulatory compliance matters including documentation of mandatory submissions and response to the regulating authorities in HK and China Mainland
  • Coordinate with business team on new product and services launches
  • Assist in conducting surveillance on the staff dealing and company’s trading activities to identify any potential insider trading and break of Chinese-Wall
  • Assist in develop and implement compliance manual, procedures and monitoring programs to ensure they reflect current regulation, industry best-practice, and changes in business structure and activities
  • Assist in providing AML advisory support to the business team
  • Assist in raising and maintaining compliance awareness among staff by providing timely information and relevant trainings

 Requirements:

 

  • University degree holder (Law, Finance, Economics or Risk management) will be an advantage
  • 2 Years or above compliance experience, mainly focus on Type 1 & 2 license
  • Familiar with Retail and Institutional trading will be a plus
  • Excellent communication and interpersonal skills
  • A pro-active, motivated approach
  • Able to work under pressure
  • Good command of both spoken and written English and Chinese.
  • Candidate with more experience will be considered as Senior Officer

Personal data provided by job applicants will be used strictly in accordance with the employer's personal data policies and for recruitment purposes only.

 

 

Company Info

Don Nelson is an unique, fast growing and awarded recruitment services provider. We connected with hundreds of Multinational and Public Listed companies throughout the Asia Pacific.

Our subsidiary, Nelson Solutions, offers a broad range of services to our clients, ranging from mass recruitment projects, secondment & payroll services to Temporary & Contract projects. We place great emphasis on a fast and accurate response for both of our clients and candidates.

Please visit our website: www.donnelson.com.hk 

or you can submit your resume to: [email protected] 

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