Responsibilities:

• Develop and conduct compliance monitoring program and perform internal ad hoc investigation
• Develop, update and review policies, procedures and guidelines from the compliance perspective and circulate to staff for compliance purpose
• Handle enquiries from regulators and external parties
• Handle licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators
• Develop training materials and coordinate compliance /AML trainings
• Review advertisement, marketing materials and webpage for adherence to regulatory requirements
• Handle ad hoc tasks as assigned

  Requirements:

• Degree holder in finance, accounting, law or related disciplines
• Minimum 3 years of relevant experience working in securities broker firm
• Sound knowledge of the SFO and other relevant codes and regulations as well as rules and regulations of PIBA and MPFA
• Good knowledge in AML/KYC and back/middle office operation is preferential
• Fluent in English and Chinese (Proficiency in Mandarin will be an advantage)
• Good team player and self-motivated with strong sense of responsibility, organizational and problem solving skills
• Candidate with less experience will be considered for the position of Compliance Officer
• Immediately available is highly preferred.
  

We offer 5 days work, good career prospects & competitive remuneration packages to the right candidate. If you welcome the challenge of working in a fast-paced & dynamic environment, please send us your application with availability, present and expected packages by clicking "Apply Now".

The Human Resources Department
Core Pacific - Yamaichi International (H.K.) Limited
11th Floor, China Resources Building,
26 Harbour Road, Wanchai, Hong Kong
Fax No.: 2918-1202
Website: http://www.cpy.com.hk

Personal data collected will be used for recruitment purpose only