Compliance Officer / Assistant
Platinum Management Services Limited
- Company Industries:Financial Services
Job Information
- Post Date:2020-03-29
- Career Level:Entry Level
- Location:Not Specified
- Yr(s) of Exp:1 years
- Qualification:Degree
- Salary:Salary negotiable
- Employment Type:Full Time, Permanent
- Job Function:Legal & Compliance
Job Description
Responsibilities:
- Assist in dealing with HKEX, SFC and other regulatory organizations for all compliance and licensing matters;
- Assist in developing and monitoring compliance related policies and procedures as well as proper internal control to ensure that Company is in compliance with regulations;
- Handle and update licensing matters for licensed individuals and corporations;
- Conduct CPTs and maintain licensed individuals’ CPT record;
- Conduct KYC/CDD for new account opening and account maintenance;
- Assist on all company secretarial tasks, including prepare Board Minutes/Written Resolutions/ AGM for group companies; and
- Perform ad-hoc assignments or projects as required
Requirements:
- Degree holder or above in Law, Accounting or related disciplines;
- Sound knowledge of the financial industry and Compliance regulations is a plus;
- Preferably with one year working experience; candidates with internship experience in the banking and finance industries is preferred;
- Excellent communication and interpersonal skills;
- Able to work under pressure and work independently;
- Fluency in written and spoken English and Chinese (both Cantonese and Mandarin); and
- Fresh graduates will also be considered
We offer a competitive compensation package to the right candidate. Interested parties please apply by clicking ‘Apply Now’ with a detailed resume.
(All applications will be treated in strictly confidential. Applicants who are not invited for interview within 2 months may consider that their applications are unsuccessful.)
Company Info
Visit our website: www.platinum-asia.com
We are an Asian financial services group, providing a wide range of financial advisory and stockbroking services to our clients throughout the Asia Pacific Region. We are looking for a high calibre candidate for the following position:
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