Our client is a Licensed Corporation registered with the SFC of Hong Kong. The Company is a HKEx trading member and is registered and regulated by the US National Futures Association. It provides sales and execution services to institutional clients and is active on a global scale across asset classes.

This captioned role would suit someone who has the ambition to build his or her career in compliance, joining a platform which provides a broad exposure to different products and all facets of the IDB business. Besides the fundamental KYC and AML nature of the job, it also offers on-the-job training as well as exposure to different types of project work, depending on experience and suitability.

 Responsibilities:

• Handle the on-boarding process, perform AML checks and to arrange the set up of give-up agreements for new clients
• Conduct due-diligence and monitor adverse compliance alerts generated from the client monitoring database
• Handle license applications and CPT requirements for individuals with a specific focus on Securities and Futures Commission (SFC), and/or the US National Futures Association
• Provide advice to employees on licensing, examination requirements and continuous professional training matters
• Be responsible for reviewing staff’s Personal Account Dealing (“PAD”)
• Be responsible for compliance trade monitoring and reporting
• Compliance Inquiry Handling
• Work within a small, proactive team to deliver efficient and best practice compliance and risk solutions, policies, procedures and standards
• Prepare to assist in ad-hoc projects
• Liaising with regulators on core-compliance related issues

Job Requirements:

• At a minimum an accounting or business related degree is required. Post-graduate studies such as HKSI papers or Company Secretary’s Certificate would be highly regarded
• At a minimum 2 years+ experience in compliance related roles within the financial industry. Ideally candidates should have previous experience in KYC due-diligence or has worked in a general compliance capacity with a financial institution, or with a regulator covering licensing matters
• Possess a general understanding of the regulatory environment, financial markets, securities and derivatives regulations, a particular focus on AML and/or KYC related regulatory requirements would be highly regarded
• Previous experience in Electronic Give-Up Agreement System (“EGUS”) would be highly regarded
• Organized, details-oriented with ability to multitask and prioritize
• Flexible and able to work independently to meet tight schedules
• Good interpersonal and analytical skills
• Good command of verbal and written English (fluency in Chinese or any other Asian languages would be a plus but not necessary)
• PC literate in WinWord, Excel and PowerPoint
• Ability to work as a member of a small team in a fast-paced environment
• Must have a “can-do” attitude

Data will be collected for recruiting purposes only.

Interested parties please apply with detailed CV and current salary details to resumes@conrad-search.com