Compliance Officer | Fintech | SFC Licensed Coporates Exp.
Osmium Consulting Group Limited
- Company Industries：Human Resources Management/Consultancy
Job Information
- Post Date：2022-09-07
- Location：Admiralty
- Yr(s) of Exp：3 years
- Qualification：Degree
- Employment Type：Full Time, Part Time, Permanent
- Job Function：Banking / Finance Financial Services Others Risk Management
- Benefits：Double pay, Gratuity, Life insurance, Medical insurance, Overtime pay, Performance bonus, Travel allowance, Five-day work week
Job Description
- Provide practical compliance advice for business such as retail and institutional brokerage, global markets business and businesses of the Group
- Monitor business operation of SFC licensed corporates of the Group and formulate and update internal policies and procedures to ensure relevant compliance standards are complied with
- Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
- Assist in managing the implementation and enforcement of internal company policies and external laws and regulations (i.e. SFC/ HKEX requirements)
- Provide staff training related to compliance guidelines and requirements
- Liaise with SFC, HKEx and regulators for any inquiries and requests
- Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML/KYC suitability policy
- Keep abreast of new regulatory requirements published by SFC, HKEX and FATCA etc
- Perform ad-hoc tasks and projects
The ideal candidate should be a ：
- University degree in Law, Finance or related disciplines
- Minimum 3+ years of relevant experiences in financial industry and SFC licensed corporates
- Sound knowledge of the SFO and SFC Codes and Guidelines
- Knowledge of HKEX Rules and Guidance is an advantage
- Detail-oriented,self-motivated and able to work independently
- Excellent written and spoken English, Cantonese and Mandarin
- Candidate with less experience will be considered as Analyst, Compliance
Company Info
Osmium Consulting Group was founded with one single aim in mind - to provide professional recruitment and HR advisory services to our clients and candidates.
We offer our clients access to the very best candidates and our candidates opportunities to develop a professional career. We possess a number of unparalleled and unique features that define and set us apart from other service providers in the recruitment industry.
The Practice Sectors We Cover :
Accounting & Finance
Banking & Financial Services
Risk & Compliance
Human Resources & Operations
Financial Technology ( FinTech )
TMT ( Technology, Media & Telecommunications )
Information Technology
We believe Experience, Understanding and Relationships ( EUR ) are the key pillars in our business. Maintaining good relationships with both our clients and candidates is as important as the understanding of their needs.
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