Senior Compliance Officer

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • Quam Securities Company Limited
  • 22 Sep 16

We are recruiting a suitable candidate for the captioned position, who will be mainly responsible for handling the compliance matters of our growing securities and futures brokerage business.

(Job Ref: J-1618)

Job Responsibilities

  • Processing licence applications for submission to regulatory bodies.
  • Monitoring daily business activities to ensure compliance with internal policies and external regulations and to identify room for improving internal controls.
  • Handling information requests from regulatory bodies and auditors.
  • Maintaining the compliance documentation and disclosure filing systems.
     

Job Requirements

  • Hold a university degree or post-secondary diploma, preferably in finance / accounting / business / legal discipline.
  • At least two to three years of experience in internal control or operation functions of the financial industry.
  • Mature, self-initiated and detail-minded.
  • Possess excellent communication and interpersonal skills.  

We offer attractive salary, benefits and 5-day workweek to the successful applicant.  Please send your resume with present and expected salary to the Group Human Resources Manager. (Please quote the job reference number on the email subject line.)

Personal Data collected will be used for recruitment purposes only.