Sales and Trading Compliance (Chinese firm)
SearchAsia Hong Kong
- Company Industries:Human Resources Management/Consultancy
Job Information
- Post Date:2019-03-12
- Location:Central
- Salary:Salary provided
- Employment Type:Full Time, Permanent
- Job Function:Financial Services Legal & Compliance
Job Description
Key Responsibilities
n 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
n To enforce the best market practice within the sales and trading business activities
n To implement internal policies and procedures to ensure business activities comply with the relevant rules and regulations
n To identify, resolve and escalate compliance risk on a timely manner
n 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
n To perform daily surveillance over business activities and perform any investigation if necessary
Qualification
n Degree holder in business related discipline
n Minimum 7 years of compliance experience in sales and trading area
n Prior working experience in SFC is an advantage
Technical Skills / Soft Skills Requirement
n Familiar with the market practice in sales and trading business and AML
n Familiar with using trade surveillance system and transaction monitoring system
n Proficiency in written and spoken Mandarin, English and Cantonese
n Excellent knowledge relevant rules and regulations of the SFC and HKEx
n Good interpersonal and communication skills
n Strong analytical skills and able to work independently
Candidates who are interested, please send me your latest CV to darric.lee @searchasia.com.hk with your current salary, expected salary and availability.
Company Info
100% Client Focused, Proven Trust & Integrity
SearchAsia is a prominent human capital consulting firm with a strong Asia Pacific presence.
Our commitment to our clients is to go beyond recruitment and into business partnership; we take pride in representing our clients and are proactive in participating in your growth. By providing thought leadership and guidance, we assist our business partners to navigate and manage the lucrative, but highly complex and uncertain, markets of Asia Pacific.
To our candidates, we believe in forging long-term relationships with you beyond providing career opportunities. Our consultants strive to have a complete understanding of every candidate's needs, career objectives and motivations, and continue to help you build and manage your careers.
All information would be treated with strictest confidence. We regret that only short-listed applicants would be notified
More job opportunities are available at our website: www.searchasia.com.hk
Position | Company | Location | Update |
---|