Responsibilities:

• Identify and evaluate compliance risks of the operations and business activities for Brokerage business and provide alternative and compliance solutions
• Provide day to day regulatory advice and guidance on rules and internal policies including AML and its latest updates; review business processes and new initiatives to ensure compliance with regulatory requirements
• Assist to draft, revise, update and maintain compliance policies and manuals of the business units as necessary on ongoing basis
• Review, enhance and develop the compliance programs, procedures and guidelines for the business unit
• Work closely with back office, front office and regulatory authorities on compliance issues and provide compliance support to associated entities
• Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
• Deliver in-house compliance training to the business unit and provide advice to the management

Requirements:

• Degree holder in Law, Finance or other related disciplines
• At least 3-5 years of relevant hands-on compliance experience in financial sector
• Good command of written and spoken English and Chinese including fluency in Putonghua
• Self-motivated, meticulous, analytical and strong organizational skills

Interest parties please send your full resume including your current salary, expected salary and availability by clicking "APPLY NOW".

**Data collected will be used for recruitment purpose only.

Zhongrong PT Securities Limited is principally engaged in the provision of a wide range of financial services including brokerage, futures, sales and trading, etc. Our group parent company, Zhongrong International Trust Co., Limited, is ranked as one of Top 5 Trust Companies in mainland China. To cope with our business growth and expansion, we are looking for high caliber candidates to join our dynamic team.

中融平和證券有限公司註冊於香港，是中融國際信托控股有限公司之子公司及唯一境外券商平台，是一家立足香港、面向全球的國際金融機構，致力於成為連接中國與海外資本市場的橋樑。中融平和證券有限公司為香港證監會監管之證券、期貨及外匯項下持牌機構，依託股東雄厚的資本實力、穩健的經營風格和廣泛的客戶基礎，竭誠為優質企業提供一站式金融服務及面對機構投資者和個人高淨值客戶的證券經紀服務。