Responsibilities:

• Handling licensing and regulation matters with SFC
• Monitor trade surveillance function of the licensed corporations and carrying out the relevant compliance checking at front, middle & back offices functions
• Assist in monitoring AML related control measures and related risk awareness
• Assist in training and updating all staff regularly on latest developments
• Assist business and support units in preparing the manuals and monitoring to ensure completion within stipulated time frame
• Assist in drafting new policies for compliance and corporate governance purposes

• Review the adequacy of the internal control and corporate governance of business process / operation vis-a-vis the identified high compliance risk areas and recommend for improvement

Requirements:

• Degree holder in Law, Accounting, Corporate Governance or related disciplines, prepferable with professional qualification in Law/Accountancy/Corporate Governance
• Strong command of written and spoken English & Chinese, literacy in Mandarin add an advantage.
• Proficiency in MS Office (MS Word, Excel & PowerPoint)

• Minimum 4 years of compliance experience in securities/futures brokerage industry
• Knowledge in SFC, HKEx regulations and other regulatory requirements in relation to corporate finance, dealing in securities, dealing in futures contract and electronic trading
• Knowledge of FATCA and CRS is an advantage
• A team player with strong communication and analytical skills as well as high degree of professional maturity
• Able to work independently and under pressure

*Candidates with less experience will be considered for Senior Officer, Compliance

Interested parties please send full resume with contact telephone number to Human Capital Department, Kim Eng Securities (Hong Kong) Limited at Level 30, Three Pacific Place, 1 Queen’s Road East, Hong Kong or via e-mail (in MSWord format)

The personal data collected in the job application will only be used by Kim Eng Securities (Hong Kong) Limited, its subsidiaries and/or affiliates (Maybank Kim Eng Group) internally to assess your suitability to assume the job duties of the position for which you have applied. All personal data will be handled in strict confidence and filed with Human Resources Department. It is the Company policy to retain the personal data of unsuccessful applicants for future recruitment opportunities for a period of maximum six (6) months, otherwise it will be destroyed.