• Competitive Base Salary and Performance Bonus
  • Hong Kong
  • Permanent, Full time
  • GF Holdings (Hong Kong) Corporation Limited
  • 2018-07-20

Compliance Associate

GF Holdings (Hong Kong) Corporation Limited

Hong Kong

About GF Holdings (Hong Kong) Corporation Ltd

GF Holdings (Hong Kong) Corporation Limited (“GF Holdings (HK)”) (Stock Code 1776.HK) is a wholly-owned subsidiary of GF Securities (Stock code 000776.SZ), responsible for managing and planning the business of all Hong Kong-based wholly owned subsidiaries of GF Securities. We provide full-range cross-border securities and financial services for customers by fully utilizing the brand, business and network advantages of GF Securities.

Compliance Department of GF Holdings (Hong Kong) is a centralized control function to ensure the business of the firm are in compliance with the relevant regulations and group policies. Compliance Department provides operational and advisory support to both the holding company and its subsidiary companies. 

Compliance Associate supports the key operations of the Compliance Department and maintains the quality and accuracy of the Compliance operations.

Key coverage of the Compliance Associate include: 

JOB RESPONSIBILITIES

  • Assist in reviewing and updating compliance policies and procedures and coordinate with business units to ensure due compliance with regulatory requirements
  • Handle licensing related matters (applications, notifications and etc.) and other requests (report, inquiries and inspections) from regulators (i.e. SFC)
  • Review staff dealing and conflicts management
  • Review records of regulated activities for compliance with regulatory record keeping requirements, e.g. compliance training and CPT records, review of deal files, phone recordings
  • Handle other ad-hoc projects as assigned by the team

JOB REQUIREMENTS

  • Degree in Law, Accounting, Risk Management, Compliance or related disciplines preferred
  • Minimum 2 years relevant experience in Compliance, Audit or Risk Management
  • Strong analytical skills, sense of responsibility, able to work as a team as wel as independently with strong communication and interpersonal skills
  • Good command of both written and spoken Chinese (including Mandarin) and English, native Mandarin speaker is welcomed
Hong Kong Hong Kong Hong Kong HK