Compliance Officer
Yew Tree Limited
- Company Industries:Financial Services
Job Information
- Post Date:2020-04-06
- Career Level:Middle
- Location:Not Specified
- Yr(s) of Exp:2 years
- Qualification:Non-Degree Tertiary
- Salary:Salary provided
- Employment Type:Full Time, Permanent
- Job Function:Legal & Compliance
Job Description
Job Description:
- Handle SFC licence application & notification e.g. RO application/Director/MIC/Annual Return submission
- Review daily operation and verify trade records
- Review holding company corporate action and HKEx announcement for SFC updating
- Review account opening & verify documentation in line with AML & CTF
- Review account opening forms & agreement in compliance with legislations, rules & regulations
- Review company operation manual & compliance manual are complied with regulatory requirements.
- Review enquires for disclosure of interests from listed company or its agent under s.329 SFO
- Handle Foreign Account Tax Compliance Act (FATCA) & Automatic Exchange of Financial Account Information (AEOI) registration & reporting
- Review phone recording on trading
- Liaise with SFC, HKEx and other regulators for any inquiries and requests
- Advise on compliance aspects relating to securities, corporate finance, licensing and related matters
- Provide staff training related to compliance guidelines and keep tracking of CPT hours for licensed persons
- Assist in ad-hoc projects as assigned
Requirements:
- University degree preferably in law, finance, accounting or related disciplines
- At least 2 years of solid working experience in compliance or auditing field
- Sound knowledge of SFC regulations and guidelines
- Experience in liaising with SFC and HKEx for license applications
- Familiar with compliance issues such as AML and KYC
- Detail-oriented, mature and able to work independently
- Proficient in Cantonese and English
Company Info
Yew Tree Limited, a stock brokerage firm, is seeking high-caliber individuals to join our team for the following position:
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