Associate, General Compliance

  • Negotiable
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • China Merchants Securities International Co., Ltd
  • 26 Apr 18 2018-04-26

In accordance with the SFC’s regulatory requirements, support central compliance function, assist with compliance monitoring and provide compliance advice to business in order to ensure that our Company is compliant in all aspects.

China Merchants Securities International Company Co., Limited (“we”), wholly owned by China Merchant Securities Company Limited (Stock Code: 6099.HK/600999.SH), is principally engaged in the provision of a wide range of financial services including brokerage, corporate financing, sales and trading, leveraged and structured lending, asset management, private equity, global commodities and futures. We are searching high caliber talents to help develop and take part in the growth of our business.

Job Responsibilities:

  • Assist in formulating and revising forms, correspondence, compliance manuals and desk policy;
  • Implement various measures to fulfill regulatory requirements;
  • Coordinate with different business units to obtain relevant customer and transaction data in order to respond promptly to regulator’s inquiries, investigations and other requirements;
  • Assist in handling client complaints;
  • Cooperate with different business units to improve compliance-related projects;
  • Provide compliance advice to business units and respond to relevant inquiries on time;
  • Assist in conducting compliance training; and
  • Support the annual internal control audit.

Job Requirements:

  • Bachelor degree or above in finance, accounting or related disciplines;
  • A minimum of 2-4 years of relevant compliance experience in securities/brokerage firm ,asset management companies or reputable financial institutions;
  • Good knowledge of SFC regulations, other relevant regulations and financial products;
  • Responsible, detailed-mind, well-organized with good communication skills; and
  • Good command of both spoken and written English, Chinese (both Cantonese and Mandarin).

We offer attractive remuneration and benefits including 5-day working week to the right candidates. Interested parties, please send your full resume including your CURRENT and EXPECTED salary to Head of Human Resources Division, China Merchants Securities International Company Limited, 48/F, One Exchange Square, Central, Hong Kong or by email.
Personal data provided will be used by us for recruitment and related purposes, which is strictly in accordance with the Personal Data (Privacy) Ordinance (Cap. 486 of the Laws of Hong Kong) for Applicants for Employment. Applicants who are not contacted within 6 weeks may consider your applications unsuccessful and the personal data collected will be destroyed after 2 years or such other period as prescribed by the applicable laws.