Compliance Assistant

China Investment Securities (Hong Kong) Financial Holdings Limited

Company Industries：Financial Services

Job Information

Post Date：2014-02-17
Career Level：Entry Level
Location：Central
Yr(s) of Exp：1 years
Qualification：Degree
Employment Type：Permanent
Job Function：Others
Benefits：Five-day work week Medical insurance

Job Description

Responsibilities

To handle applications and related changes of SFC license
To review account opening documentation
To assist the department head of legal and compliance department to establish and review policies and procedures for compliance with the applicable rules and regulations
To assist the department head of legal and compliance department to establish and implement compliance surveillance procedures for all regulated activities of the company
To assist the department head of legal and compliance department to handle client complaints
To assist the department head of legal and compliance department to provide compliance related advice on new products and services
To assist the department head of legal and compliance department to prepare training materials for Continuous Professional Training

Requirements

Bachelor degree in law or finance
Knowledge of Securities and Futures Ordinance and guidelines/codes issued by the SFC
Fundamental compliance experience in securities and futures trading preferably with some compliance experience on asset management and corporate finance

To apply, please send your full resume, including personal particulars, employment history, current and expected salary, and contact phone number to HR department, China Investment Securities(Hong Kong) Financial Holdings Limited, 63/F, Bank of China Tower, 1 Garden Road, Hong Kong or e-mail to hr@china-invs.hk .

(The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidates will be destroyed within six months.)

Company Info

中投證券(香港)金融控股有限公司

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