Our client is Securities Firm. To cope with the rapid business expansion, they are now inviting high caliber candidates to join the team

 Assistant Manager/ Manager, Compliance - Seecurities Brokerage  (Type 1,4,6,9)

Responsibilities:

• Perform and handle all spectrum of compliance duties related to Ever-Long Securities Company Limited and all its affiliated companies (RA 1, 4, 6 & 9)
• Liaise with SFC, HKEX and other regulatory organizations for all compliance and licensing matters
• To conduct internal compliance review and control, to ensure compliance policies and procedures are maintained and followed
• Ensure operation policies are fully implemented and adhered at all times
• Assist in developing, updating and reviewing policies, procedures, guidelines from the compliance perspective and circulate to staff for compliance purpose
• Involve in facilitating any work improvement projects

Requirements:

• University graduate in Finance, Law or related disciplines
• Minimum 4 years in Securities/Brokerage/Asset Management compliance
• Sound knowledge of applicable law, rules and codes and working knowledge of securities and futures products
• Good command of written and spoken English, Chinese and Putonghua
• Good communication skills and able to work with all levels of people
• Hard-working, independent and responsible

Please send full resume with present & expected salary to expedite sourcing in MS-WORD format by clicking “APPLY NOW”

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