The Job:

• Assist to set post-trade compliance rules according to prescribed selling process;

• Performing trade surveillance review to ensure the compliance of suitability obligations;
• Monitoring individual staff to comply with regulatory aspect and adheres to company’s policy and procedures;
• Assist in developing policies and procedures to facilitate compliance with regulations and code of conducts;
• Timely report compliance issues to senior management;
• Provide support in ad hoc assignments including CDD, PDD, selling process, etc;
• Assist to handle queries from regulators as related to the department.

Requirements:

We support local hire with solid relevant working experience in HK.

• Bachelor’s Degree or above in Accounting/Finance/Business/Legal/Risk;

• 3-5 years’ relevant experience in general compliance/audit, preferably gained in private wealth management;
• Good working attitudes, strong analytical and logical thinking;
• Ability to multi-task and a good team player;
• Proficiency in written and spoken in English and Cantonese, with proficiency in Mandarin an advantage.

We are committed to build a team of competence individuals who have acquired relevant local solid working experience and with diversified exposure to work together with us. Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful.

We provide attractive remuneration package and fringe benefits for the right candidate. Interested parties please send detailed resume with current and expected salaries to Human Resources Department i) by mail: 22/F, Li Po Chun Chambers, 189 Des Voeux Road Central, HK; ii) by fax: 2537 5431; or iii) by using "APPLY NOW"

Please quote the reference in the application. If application is submitted in hard copy format, it should be placed in a sealed envelope marked “Confidential”. All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only. A copy of our Personal Information Collection Statement will be available upon request.