Assistant Compliance Officer
The Core Securities Company Limited
- Company Industries:Financial Services
Job Information
- Post Date:2022-06-01
- Career Level:Entry Level
- Location:Central
- Yr(s) of Exp:1 years
- Qualification:Degree
- Employment Type:Full Time, Permanent
- Job Function:Professional Services Legal & Compliance Banking / Finance Order Processing & Operation / Settl
- Benefits:Dental insurance, Medical insurance, Performance bonus, Five-day work week
Job Description
Responsibilities:
- Handle the account opening and documentation review
- Perform verification of the Customer Due Diligence (CDD), Know Your Client (KYC), Risk Level Assessment of new and existing clients
- Ensure accuracy and completeness of the request documents for Compliance and Management team to review and approve (including both HK and US Stock Market)
- Work closely with Compliance, Settlement, and front officer regarding all clients data issues
- Provide administrating support on filing and record keeping
- To Perform ad hoc projects as required
Requirements:
- Degree holder in Business, Finance or other related disciplines
- Minimum 1-2 years of relevant experience in account opening process in security business
- Proficient in PC Knowledge
- Good on both written and spoken English and Chinese, Fluency in Putonghua
- Independent, self-initiative and good interpersonal skills
Benefits & Others
- Five-day work week
- Medical & Dental Insurance
- Performance Bonus
Company Info
The Core Securities Company Limited understands the importance of providing professional wealth management solutions to our clients, The Core Securities combines personalized approach, in-depth
expertise, and financial planning tools and resources to build and protect your wealth. Our global market team has a wealth of knowledge, resources, and solutions for all investors. Through our accredited professional advisors, our clients benefit from the
expertise of our capital market research, global portfolio advisory, and wealth management services.
Whether you are building on your existing wealth, protecting your family’s financial security, or thinking about your legacy to the next generation, The Core Securities offers a complete array of wealth management services, products and solutions to meet your needs. Trust in our proven expertise to build a wealth management strategy uniquely designed to help you achieve your financial objectives for today and tomorrow.
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