Securities Compliance Manager
Randstad Hong Kong Limited
- Company Industries：Human Resources Management/Consultancy
Job Information
- Post Date：2022-10-10
- Career Level：Senior
- Location：Not Specified
- Qualification：Degree
- Salary：HK$45,000 - HK$70,000 /month
- Employment Type：Full Time, Permanent
- Job Function：Banking / Finance Financial Services Dealing & Trading Professional Services Legal &
Job Description
about the company
Our client is a leading Regional Financial Institute, with investment banking and securities business.
about the team
- A team of 2 in Compliance
- A stable working environment
about the job
- Provide day-to-day regulatory advice and guidance on business operation and investment/trading activities across all business units (investment banking and securities business)
- Maintain and modify firm's compliance policies, manuals and procedures to ensure the compliance with latest regulatory requirements and standard
- Perform AML and compliance monitoring/screening, including KYC, on-boarding, due diligence, sanction screening etc
- Perform regulatory/business compliance, staff personal account dealing, reviewing marketing materials, control room function etc
- Liaise with regulators on ad hoc enquiries, questionnaire, inspections etc
skills & experiences required
- University Degree in Law, Accounting, Finance, or relevant discipline
- At least 5 years compliance experience in investment bank or securities business
- Candidates from Big-4 audit firm and regulators (SFC/HKMA) will be considered
- Good command in verbal and written English
To apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: [email protected]
Company Info
Randstad is a global leader in the HR services industry, with Asia-Pacific operations in Singapore, Malaysia, Hong Kong, China, Australia and New Zealand. Our Hong Kong operations has been supporting people and organisations in realising their true potential, helping find the best permanent and contracting talent in accounting & finance, banking & financial services, business support, construction & property, engineering, human resources, technologies, sales, marketing & communications and supply chain & procurement.
Human connection is at the heart of our business. Our personal approach, supported by state-of-the-art technology, is what sets us apart in the world of work. We express this with a new brand promise: Human Forward.
Human connection is at the heart of our business. Our personal approach, supported by state-of-the-art technology, is what sets us apart in the world of work. We express this with a new brand promise: Human Forward.
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