Compliance Manager / Assistant Compliance Manager Compliance Manager / Assistant Compliance Manager …

Frontier Financial Group
in Hong Kong
Permanent, Full time
Last application, 27 Oct 20
35 - 50K
Frontier Financial Group
in Hong Kong
Permanent, Full time
Last application, 27 Oct 20
35 - 50K
Posted by:
HR team • Recruiter
Posted by:
HR team
Recruiter
Compliance Manager / Assistant Compliance Manager

Responsibilities:

- Review client account opening forms;
- Conduct trade surveillance, AML and other compliance checks;
- Draft and maintain compliance policies and procedures;
- Perform monthly personal account dealing reviews;
- Conduct continuous professional training including preparation of training materials
- Assist to review and monitor the group ongoing and new business expansion in compliance with requirements of relevant regulatory bodies;
Work closely with the team to provide daily legal & compliance support for the ongoing business requirements

- Assist in maintaining Chinese Wall and in monitoring information flows;

Requirements:

- University graduate in Accounting or equivalent;
- At least 5 years working experiences in securities firm,  investment bank or asset - management company;
- Fluent in written and spoken English and Chinese, including Mandarin;
Well-organized;
- Good analytical and communication skills;
- Flexible and willing to learn;
- Able to work independently and under pressure;
- Proficient in MS Word, Excel and Power-point;
- Experience in insurance or property industry is a plus.
- Candidate with less exp. will be considered as Assistant Manager

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