We are assisting a small but fast growing securities house to invite high calibre candidates to apply for the above post.

Responsibilities :

• Reviewing all compliance procedures/policies for various departments, ensuring the compliance policies are properly developed, monitored and complied with relevant regulations and legislation in respect of the regulated activities
• Handling KYC, AML-related issues and projects
• Responsible for Hong Kong regulatory work including SFC enquiries and investigations
• Provide compliance training for staff and ensure compliance policies and procedures are maintained and followed
• Update compliance policies and procedures and ad hoc tasks as required

Requirements:

• University Graduate with a degree in finance/law or related discipline
• Minimum 3 - 5 year’s experience in Securities/Brokerage firms
• Must be detail-oriented, independent, able to work well under pressure
• Strong analytical and/or legal documentation reviewing and problem-solving skills with good practical judgment
• Excellent communication in Chinese and English, must speak Mandarin

Interested parties please send your FULL RESUME (in MS Word format) with availability, current and expected salary to Keith Tong (click here) or you can call us at (852) 2520-0284 for more information.

For more job opportunities, please visit our career wonderland at http://www.levin.com.hk