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Senior Compliance Officer

Emperor Capital Grou

  • Company Industries:Mixed Industry Group

Job Information

  • Post Date:2019-05-23
  • Career Level:Middle
  • Location:Wan Chai
  • Yr(s) of Exp:3 years
  • Qualification:Degree
  • Salary:Posted on 23 Apr 2019
  • Employment Type:Full Time, Permanent
  • Job Function:Legal & Compliance
  • Benefits:Education allowance, Five-day work week, Life insurance, Medical insurance, Performance bonus

Job Description

Responsibilities:

  • Provide support in all compliance function and ensure all applicable laws, regulations and internal policies and procedures are complied with
  • Perform regular compliance monitoring program to identify suspicious cases
  • Handle new account opening matters, SFC enquires and conducts related investigations
  • Hands-on review of incoming documents and perform due diligence checking on all new account opening
  • Handle new SFC Licensing application and CPT record


Requirements:

  • Degree holder in Legal, Finance, Accounting or related disciplined
  • 3-5 years relevant experience gained in brokerage firm, banking and finance industry
  • Familiar with all types of SFC licensing application
  • Good level in understanding SFC HKEX regulations
  • Good knowledge in KYC, AML, due diligence, as well as FATCA & CRS reporting
  • Good command of written and spoken English and Chinese
  • Proficient in Microsoft Words and Excel
  • Have strong sense of responsibility and detail minded
  • Self-motivated, meticulous, analytical and strong organizational skills
  • Good communication between internal/external parties and willing to learn

We offer 5-day-work week with competitive remuneration and benefit packages to the right candidate. Interested parties please send your application letter, resume, expected salary and availability to Human Resources Department, 28/F, Emperor Group Centre, 288 Hennessy Road, Wanchai, Hong Kong or by fax 2835-6677 or by clicking the "Apply Now" button below. 

We are an equal opportunity employer & welcome applications from all qualified candidates. The information provided will be treated in strict confidence & be used only for consideration of your application for relevant / similar posts within the Emperor Group. Applicants not hearing from us within four weeks may consider their applications unsuccessful. We may retain the unsuccessful applications for a maximum period of 24 months.

Company Info

Established in 1993, Emperor Capital Group Limited (717.HK) is a renowned Hong Kong based financial institution providing a wide range of financial services including (i) commercial and personal lending as well as margin and IPO financing; (ii) brokerage, wealth management and asset management; (iii) placing and underwriting services for listed issuers; and (iv) corporate finance advisory services. It has become one of the constituent stocks of MSCI HK Small Cap Index since 1 December 2015. For more information, please visit its website: www.EmperorCapital.com.

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