Our client, a well-known financial industry in Hong Kong, is looking for a high calibre to join the group.

Responsibilities：

• Act as Assistant Compliance / Compliance Manager in Securities brokerage Business
• Assist Compliance Team to ensure that daily operations comply with Hong Kong SFC and/or other regulatory requirements in different markets
• Assist Compliance Team to liaise with regulators and other key stakeholders.
• Assist Compliance Team to perform and review regular compliance checking
• Undertake investigations into businesses and stakeholders on the implementation of adequate procedures and controls, design underlying documents list and issue review reports
• Review and investigate Trade and Communication surveillance alerts
• Communicate with Compliance officers, internal business users, technology and other departments on enhancing surveillance processes
• Support compliance team for other compliance matters / Ad hoc matters

Requirement：

• Bachelor’s degree or higher required.
• At least 3 year work experience as a AM / Compliance Manager in SFC LC.
• Familiar with the Brokerage and Asset Management industry.
• Ability to identify suspicious transactions as well as recommend solutions to reduce those risks.
• Successful candidate must be detail-oriented and highly confidential.
• Degree in Finance, Economics, Business or other related disciplines preferable.
• Proficiency in written and spoken English and Chinese, Fluent in Mandarin.

To apply, please send your detailed resume or contact Timothy Wong at 3990 3179 for a confidential discussion.

Only shortlisted candidates will be notified.

Applicants who are not contacted within two weeks may consider their applications unsuccessful.

All data collected will be used for recruitment purpose only & will be used strictly confidential.

Conners Consulting Limited 2005 Kai Tak Commercial Building 317 Des Voeux Road Central Hong Kong.

Tel: (852) 3996 8090     

Website: www.connersconsulting.com

About Conners

Found in 2010 by a group of professionals with wide range of networks and extensive experience in the field. We are focus on searching talent for Banking, Finance & Insurance clients in the region. We are operating by a team of sector experts to providing clients with high quality professional recruitment services. We source and select the best talent for our clients, build up trust and match most suitable job for candidates, create long term relationship with both of our clients and candidates.

Website: http://www.connersconsulting.com

Employment Agency Licence No.: 63811