Responsibilities:

• Assist in updating policies and procedures to ensure compliance with all relevant rules and regulations;
• Assist in handling investigations and surveys received from regulators;
• Handle licensing matters and regulatory reporting;
• Perform compliance control and monitoring programs including but not limited to control room, AML checking, and trade surveillance;
• Assist in provide business units with daily compliance advices and guidance;
• Prepare CPT materials and maintain relevant records;
• Handle other compliance matters / ad hoc matters assigned by the Legal & Compliance Department.

Requirements:

• Degree holder in relevant disciplines, fresh graduates are also welcome;
• Sound knowledge in SFO and other relevant codes and regulations;
• 0-3 years’ work experience in financial institutions or professional services firms;
• Self-motivated, independent, meticulous, analytical and responsible;
• Strong organizational skills and ability to multi-task and work under pressure;
• Proficiency in written and spoken English and Chinese, and Fluency in Mandarin is preferred.
• Candidates with more relevant experience will be considered for the position of Compliance Officer

SINA新浪旗下互聯網劵商

華盛資本証券有限公司在港發展多年，是目前少數擁有香港證監會牌照的互聯網券商。憑著深厚的金融交易風控經驗及卓越的研發技術，華盛將成為新浪金融版圖中繼支付、理財、貴金屬等業務外，在證券交易及海外資產配置領域的重要佈局。為配合業務發展，現誠邀優秀人才加盟我們的專業隊伍