Legal & Compliance Executive/Officer
Imperium International Securities Limited
- Company Industries:Financial Services
Job Information
- Post Date:2022-10-19
- Career Level:Middle
- Location:Kwun Tong
- Yr(s) of Exp:2 years
- Qualification:Degree
- Employment Type:Full Time, Permanent
- Job Function:Banking / Finance Others Professional Services Legal & Compliance Translation
- Benefits:Dental insurance, Double pay, Medical insurance, Five-day work week
Job Description
Key Responsibilities:
- Perform and handle full spectrum of compliance duties for Imperium International Securities Limited and its affiliated companies
- Handle regulatory procedures in dealing with external regulatory institutions, e.g. enquiries, licensing matters, notification, annual return and survey as required by the regulators
- To assist in developing, updating and reviewing policies, procedures and guidelines from the compliance perspective
- Jointly conduct AML / KYC assessments and transaction monitoring on AML as well as perform an internal control function to ensure the business and operations are in compliance with regulatory requirements
- Assist to develop training materials and coordinate compliance / AML training
- Preparing regular and ad hoc compliance report
Requirements:
- Bachelor degree in business, finance, law or related field
- Minimum 1 years compliance experience in a Securities firm. Applicants previously employed in the professional firms (accounting firms, solicitors or regulators) on the audit, compliance or investigation of Securities companies or Banks will also be considered.
- Good understanding of SFO and other relevant rules and regulations.
- High sense of responsibility with good organizing, communication and presentation skills
- Self-motivated, possessing initiative and ability to work independently
- Good command of written & spoken English and Chinese including Mandarin
Company Info
Imperium International Securities Limited (“IISL”) is a licensed corporation (SFC CE No.: AVI905 / broker number : 6978 and 6979), principally engages in securities trading, margin financing, placing and underwriting, futures and options brokerage services, etc. We provide a wide variety of securities products, including stocks, bonds, funds and derivatives products listed on the HKEx.
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