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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