Role Overview:

The compliance senior associate will report into head of legal and compliance to carry out compliance responsibilities such as KYC/CDD, regulatory updates, surveillance monitoring, licensing, and other related tasks. This is a permanent role with supportive manager and attractive benefits.

Key Responsibilities:

• be point of contact for SFC regulators
• handle all general licensing matters such as applications, de-registrations and alerts
• help maintain and update internal policies and procedures according to SFC guidelines and business requirements
• carry out KYC, CDD and AML related screen for new clients and periodic reviews
• perform communication monitoring
• keep track and update CPT records
• prepare compliance reports and self assessments
• take minutes and prepare agenda for management meetings
• handle ad hoc related tasks

Key Skills:

• bachelor degree in related disciplines
• minimum 2 years of compliance experience in securities industry or SFC regulators
• good knowledge in SFC and SFO guidelines
• good spoken English and Cantonese (ability to read and write Chinese)
• strong analytical skills
• attention to details
• reliable

Company Overview:

This is a leading global financial institution.

Robert Walters is a global, specialist professional recruitment consultancy.

Established in 1985 in London, the business has grown and so has our ambition. We now operate across 31 countries and employ over 3,700 people. It's a powerful success story built on the strength of our people. Organisations rely on us to find high-quality professionals for a range of specialist roles. Professionals who are looking for a new role, whether it's on a permanent, interim or contract basis, trust us to find them their ideal job.

Our core recruitment disciplines are:

· Accountancy & Finance
· Financial Services
· HR
· Legal & Compliance
· Sales & Marketing
· Secretarial & Business Support
· Supply Chain, Logistics & Procurement
· Tech & Transformation

For more information about Robert Walters Hong Kong, please visit www.robertwalters.com.hk