Associate,ComplianceSecuritiesBrokerage,AssetManagement,IBD

  • HKD25000 - HKD45000 per month + discretionary bonus
  • Hong Kong
  • Permanent, Full time
  • Robert Half Hong Kong
  • 06 Nov 17 2017-11-06

We are looking for an experienced candidate with solid all rounded compliance exposure in securities firms, asset management, or relevant industries.

The Company

Our client is a Chinese based Investment Bank with an expanding business, and your exceptional skills in compliance are needed to enhance their compliance functions. With a streamlined organization this company is set for growth, and here is an exciting opportunity to be a part of a business that continually invest in its employees by providing ongoing training, networking and mobility.

The Role

Within the Legal & Compliance Department, you will serve as a team member to strengthen the compliance functions for their IBD and Asset Management business.

  • Handle enquiries from regulatory authorities on on/off-site inspections, licensing matters, etc.
  • Maintain and update compliance policies and procedures to ensure regulatory requirements
  • Provide compliance advisory to business units and other relevant counter parties
  • Perform AML KYC related tasks
  • Conduct monitoring on business activities such as staff dealing
  • Prepare periodic reports for senior management
  • Participate in compliance related ad hoc projects

Your Profile

  • University graduate with a background in Finance, Business, or Law
  • Minimum of 3 years of compliance experience in investment banking, asset management, or securities firms
  • Solid knowledge in SFC, HKEX regulations and guidelines
  • Excellent interpersonal and communication skills
  • Proficient in both spoken and written Cantonese, Mandarin and English.

Apply Today

  • To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.